Gaurav Bhasin

BA SECURITIES

W. Conshohocken, PA 19428

Some features on this profile are disabled

CRD#: 5193932

Professional summary

Gaurav Bhasin is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.

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

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Gaurav Bhasin'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

January 18, 2019 - Present

BA SECURITIES, LLC

Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

CRD#: 153489

W. Conshohocken, PA

Past

May 9, 2018 - February 13, 2020

CAPSTONE PARTNERS

CRD#: 132185

BOSTON, MA

Past

September 7, 2016 - November 4, 2018

HEADWATERS BD, LLC

CRD#: 117042

DENVER, CO

Past

February 1, 2012 - September 27, 2016

KROLL SECURITIES LLC

CRD#: 36927

EAST PALO ALTO, CA

Past

June 20, 2008 - December 12, 2013

PAGEMILL PARTNERS, LLC

CRD#: 132184

EAST PALO ALTO, CA

Past

September 12, 2006 - February 25, 2008

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

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

Arizona
(1/2/2024)

California
(1/18/2019)

Massachusetts
(8/20/2021)

Minnesota
(4/26/2023)

Missouri
(7/15/2024)

Nevada
(2/4/2025)

New Jersey
(2/12/2020)

Pennsylvania
(1/18/2019)

Texas
(3/17/2022)

Utah
(10/4/2023)

Virginia
(3/21/2023)

Exams

State Security Law Exam

Series 63

Date: 11/22/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BA SECURITIES, LLC

BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: , 8-68545

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Mailing Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Phone number

(877) 738-5841

Established

Pennsylvania since 01/25/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BA HOLDCO, LLC	OWNER
BOLDEN, MICHAEL LABRADOR	CHIEF COMPLIANCE OFFICER	6411755
CHUFF, JOHN JOSEPH	PRESIDENT	1205736
HATLING, PEDER ALAN	PRINCIPAL	5240595
JUILIANO, COLLEEN JANE	FINOP	4818898
KELLER-YOUNG, SUZANNE	OPERATIONS MANAGER	5495492
PICKENS, DANIEL NEHIL	PRINCIPAL	1042225
WENTZLER, DENNIS RAYMOND	CHIEF OPERATIONS OFFICER & AML OFFICER	4221461

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Feasterville, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gaurav Bhasin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gaurav Bhasin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPSTONE PARTNERS

HEADWATERS BD, LLC

KROLL SECURITIES LLC

PAGEMILL PARTNERS, LLC

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/22/2006

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/11/2006

FINRA

Current Firm

BA SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BA SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors