Sanjeeb K. Rajput
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sanjeeb K Rajput, who also goes by Sanjeeb K. Rajput, was a registered financial professional .
Sanjeeb is a previously registered financial professional and started their career in finance in 2006. Sanjeeb had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2020 - December 22, 2022
D. BORAL CAPITAL
July 6, 2017 - March 2, 2018
GOLDMAN SACHS CUSTODY SOLUTIONS
March 22, 2017 - May 8, 2017
SCOTTRADE, INC.
April 13, 2015 - December 31, 2015
QUEST CAPITAL STRATEGIES, INC.
April 6, 2011 - March 27, 2013
RBC CAPITAL MARKETS, LLC
January 11, 2008 - March 28, 2011
FIDELITY BROKERAGE SERVICES LLC
January 5, 2006 - October 23, 2007
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
D. BORAL CAPITAL
CRD#: 103792 / SEC#: , 8-52280
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBCH PARTNERS LLC | SHAREHOLDER | |
| AGRAWAL, SHARAD | CHIEF TECHNOLOGY OFFICER | 5115964 |
| BORAL, DAVID WALTER | CHIEF EXECUTIVE OFFICER | 5340753 |
| MERLIN, JARED | CHIEF COMPLIANCE OFFICER | 4222427 |
| WHALEN, RYAN JAMES | GENERAL COUNSEL | 7457347 |
| WIEDERLIGHT, PHILIP | CHIEF OPERATING OFFICER | 5856024 |
| WILDER, BRADLEY STEPHEN | FINOP | 7497819 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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