Arun Swaminathan
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.
Arun Swaminathan was a registered financial professional .
Arun is a previously registered financial professional and started their career in finance in 2017. Arun had worked at 3 firms and has passed the Series 63, Series 82TO, SIE, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2020 - October 4, 2023
LUCID CAPITAL MARKETS, LLC
April 4, 2019 - March 9, 2020
YOSEMITE EXECUTION PARTNERS INC.
May 4, 2017 - April 16, 2019
BANKERS CAPITAL INTERNATIONAL
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 82TO
Date: 8/17/2020
Limited Representative-Private Securities OfferingsCurrent Firm
LUCID CAPITAL MARKETS, LLC
CRD#: 140345 / SEC#: , 8-67305
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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