Venkat Krishnaswamy

KUBHERA ENTERPRISES LLC

Princeton, NJ 08540

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CRD#: 5314851

Professional summary

Venkat Krishnaswamy is a registered financial advisor currently at KUBHERA ENTERPRISES LLC located in Princeton, New Jersey.

Venkat is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Venkat has worked at 3 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1)KUBHERA ENTERPRISES LLC; INVESTMENT RELATED; 742 ALEXANDER ROAD, STE 305, PRINCETON, NJ 08540; MEMBER/33 1/3% OWNER; FINANCIAL ADVISORY SERVICES; 10/01/09; 20HRS/WEEK; 4HRS DURING TRADING HRS; INVESTMENT ADVISORY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Venkat Krishnaswamy'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

October 8, 2009 - Present

KUBHERA ENTERPRISES LLC

Office #1: 742 Alexander Road, Suite 305, Princeton, NJ 08540

RIA

CRD#: 151619

Princeton, NJ

Past

October 9, 2009 - March 16, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

PRINCETON, NJ

Past

August 27, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PRINCETON, NJ

Past

August 9, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PRINCETON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KUBHERA ENTERPRISES LLC

CRD#: 151619 / SEC#: 801-114374

RIA

Registered Investment Advisory firm - (12/3/2018 Approved)

Florida

Registered Investment Advisory firm - (12/11/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (12/20/2018 Terminated)

New York

Registered Investment Advisory firm - (12/11/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(10/8/2012)

IAR

New Jersey
(10/8/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/24/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2007

General Securities Representative Examination

Current Firm

KUBHERA ENTERPRISES LLC

CRD#: 151619 / SEC#: 801-114374

RIA

Registered Investment Advisory firm - (12/3/2018 Approved)

Florida

Registered Investment Advisory firm - (12/11/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (12/20/2018 Terminated)

New York

Registered Investment Advisory firm - (12/11/2018 Terminated)

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Contact information

Main Address

742 Alexander Road, Suite 305, Princeton, NJ 08540

Mailing Address

Phone number

(609) 799-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	820
AUM (Assets Under Management)	$ 290,178,000

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.

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Advisor Monitoring

Firm Stability Insights

Venkat Krishnaswamy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Venkat Krishnaswamy's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

KUBHERA ENTERPRISES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2007

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2007

Current Firm

KUBHERA ENTERPRISES LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KUBHERA ENTERPRISES LLC

TRUST BUT VERIFY

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