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SK

Shweta Khajuria

WOLFE RESEARCH SECURITIES
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 5160260
SK

Professional summary

Shweta Khajuria, who also goes by Shweta R Khajuria, is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in San Francisco, California.

Shweta is registered as a RR (Registered Representative) and started their career in finance in 2011. Shweta has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shweta R Khajuria

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 Shweta Khajuria's 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

June 26, 2024 - Present

WOLFE RESEARCH SECURITIES

Office #1: 1 Embarcadero Center Ste 1330, San Francisco, CA 94111
BD
CRD#: 151850
San Francisco, CA
Past

February 18, 2021 - June 21, 2024

EVERCORE GROUP L.L.C.

BD
CRD#: 42405
SAN FRANCISCO, CA
Past

March 19, 2018 - February 8, 2021

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
SAN FRANCISCO, CA
Past

May 12, 2015 - March 20, 2018

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
SAN FRANCISCO, CA
Past

September 17, 2014 - May 4, 2015

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
San Francisco, CA
Past

April 26, 2011 - September 9, 2014

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
SAN FRANCISCO, CA

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
California
(6/26/2024)
RR
New York
(6/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/2011
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 87
Date: 12/22/2014
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 12/10/2014
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 4/25/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/2/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WR
WOLFE RESEARCH SECURITIES
WOLFE CAPITAL MARKETS AND ADVISORY | WR SECURITIES, LLC | WOLFE TRAHAN SECURITIES | WOLFE RESEARCH SECURITIES

CRD#: 151850 / SEC#: , 8-68406

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

Main Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Mailing Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Phone number
(646) 845-0700
Established
New York since 08/03/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (48 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WOLFE HOLDCO, LLCSOLE OWNER
JORDAN, FRANCISCFO/FINOP5634167
PALLANTE, SANDRA MARIEGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER2018926
RYAN, PETER WILLIAMVICE CHAIRMAN2009055
WOLFE, EDWARD MARKCEO2804319

Disclosures

Regulatory Event1

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

WOLFE RESEARCH SECURITIES

CRD#: 151850San Francisco, CA 94111

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