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AR

Amritpal S. Randhawa

SEAPORT GLOBAL SECURITIES LLC
Houston, TX 77002
Some features on this profile are disabled
CRD#: 5069027
AR

Professional summary

Amritpal Singh Randhawa, who also goes by Sonny Randhawa, Amritpal Randhawa, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in Houston, Texas.

Amritpal is registered as a RR (Registered Representative) and started their career in finance in 2006. Amritpal has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sonny Randhawa | Amritpal Randhawa

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amritpal Singh Randhawa's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 17, 2022 - Present

SEAPORT GLOBAL SECURITIES LLC

Office #1: 712 Main Street Suite 920, Houston, TX 77002
BD
CRD#: 116270
Houston, TX
Past

June 2, 2017 - September 13, 2019

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
HOUSTON, TX
Past

August 26, 2015 - February 23, 2017

D.A. DAVIDSON & CO.

BD
CRD#: 199
LAKE OSWEGO, OR
Past

April 22, 2014 - October 23, 2014

MILLER TABAK + CO., LLC

BD
CRD#: 47293
HOUSTON, TX
Past

March 9, 2010 - June 15, 2010

MADISON WILLIAMS AND COMPANY

BD
CRD#: 149530
HOUSTON, TX
Past

December 11, 2006 - April 17, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

January 12, 2006 - October 6, 2006

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
ARLINGTON, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/13/2022)
RR
Alaska
(5/13/2022)
RR
Arizona
(5/27/2022)
RR
Arkansas
(5/13/2022)
RR
California
(5/10/2022)
RR
Colorado
(5/16/2022)
RR
Connecticut
(3/17/2022)
RR
Delaware
(6/1/2022)
RR
District of Columbia
(5/13/2022)
RR
Florida
(3/18/2022)
RR
Georgia
(5/11/2022)
RR
Hawaii
(5/25/2022)
RR
Idaho
(3/18/2022)
RR
Illinois
(5/17/2022)
RR
Indiana
(5/13/2022)
RR
Iowa
(5/11/2022)
RR
Kansas
(5/13/2022)
RR
Kentucky
(5/17/2022)
RR
Louisiana
(6/6/2022)
RR
Maine
(5/10/2022)
RR
Maryland
(3/17/2022)
RR
Massachusetts
(5/11/2022)
RR
Michigan
(5/12/2022)
RR
Minnesota
(5/13/2022)
RR
Mississippi
(5/16/2022)
RR
Missouri
(5/10/2022)
RR
Montana
(5/10/2022)
RR
Nebraska
(5/10/2022)
RR
Nevada
(5/17/2022)
RR
New Hampshire
(5/17/2022)
RR
New Jersey
(7/1/2022)
RR
New Mexico
(5/16/2022)
RR
New York
(5/14/2022)
RR
North Carolina
(5/10/2022)
RR
North Dakota
(5/16/2022)
RR
Ohio
(5/10/2022)
RR
Oklahoma
(5/16/2022)
RR
Oregon
(5/10/2022)
RR
Pennsylvania
(5/13/2022)
RR
Puerto Rico
(4/1/2022)
RR
Rhode Island
(5/18/2022)
RR
South Carolina
(5/17/2022)
RR
South Dakota
(6/2/2022)
RR
Tennessee
(5/13/2022)
RR
Texas
(5/13/2022)
RR
Utah
(5/10/2022)
RR
Vermont
(5/13/2022)
RR
Virginia
(5/16/2022)
RR
Washington
(5/24/2022)
RR
West Virginia
(6/27/2022)
RR
Wisconsin
(5/10/2022)
RR
Wyoming
(5/20/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/20/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 5/2/2014
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 5/1/2014
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 4/21/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC

CRD#: 116270 / SEC#: , 8-53535

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEAPORT GLOBAL HOLDINGS LLCPARENT COMPANY
MEAGHER, MICHAEL JEFFERSONCEO1755168
MEYER, MICHAEL JOHNFIXED INCOME TRADING SUPERVISOR1746788
SMITH, STEPHEN CORCORANTREASURER1248750
WITTHAUT, MARKUS CLEMENSFINOP/CCO/CFO/PFO4480831

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270Houston, TX 77002

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