Mahendra S. Rathore

OMEGA WEALTH MANAGEMENT

Charlotte, NC 28277

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CRD#: 5328808

Professional summary

Mahendra Singh Rathore, CFP®, who also goes by Mahendra Singh Rathore, Mahendra Rathore, Mehendra Singh Rathore, Mahendra Rathore, Mahendra S Rathore, is a registered financial advisor currently at OMEGA WEALTH MANAGEMENT, LLC located in Charlotte, North Carolina and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.

Mahendra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Mahendra has worked at 12 firms and has passed the Series 63, Series 66, Series 3, Series 34, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mahendra Singh Rathore | Mahendra Rathore | Mehendra Singh Rathore | Mahendra Rathore | Mahendra S Rathore

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.

04/04/2022: Notary Public in the State of North Carolina. 0 hours/month devoted to the business; 0 hours/month during trading hours. This is not investment related. Name: Mahendra S. Rathore | Not Investment Related |Address: Same Location | Nature: Selling Fixed Insurance Products | Position: Individual Agent | Relationship: Appointed Agent | Start Date / Effective Date: 08/21/2007 | Approximate number of Hours: 120 per month | Number of Hours during Trading Hours: 2 hours | Duties: Insurance Products - Sales & Services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mahendra Singh Rathore'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®

CFP^®

Certified Financial Planner

Experience

Current

April 2, 2024 - Present

OMEGA WEALTH MANAGEMENT, LLC

Office #1: 17210 Westmill Lane, Charlotte, NC 28277

RIA

CRD#: 330209

Charlotte, NC

Current

October 29, 2024 - Present

INNOVATION PARTNERS LLC

Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210

RIA

CRD#: 146344

Charlotte, NC

Past

April 26, 2022 - November 4, 2022

ALLY INVEST ADVISORS

RIA

CRD#: 170301

CHARLOTTE, NC

Past

April 25, 2022 - November 4, 2022

ALLY INVEST SECURITIES LLC

CRD#: 136131

Charlotte, NC

Past

March 8, 2022 - April 11, 2022

OMEGA WEALTH MANAGEMENT, LLC

RIA

CRD#: 313671

CHARLOTTE, NC

Past

February 9, 2022 - March 17, 2022

CHELSEA FINANCIAL SERVICES

CRD#: 47770

STATEN ISLAND, NY

Past

April 25, 2018 - March 11, 2020

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

CHARLOTTE, NC

Past

September 20, 2017 - March 11, 2020

EQUITABLE ADVISORS, LLC

CRD#: 6627

CHARLOTTE, NC

Past

April 15, 2016 - September 15, 2017

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509

CHARLOTTE, NC

Past

November 7, 2014 - September 15, 2017

ALIGHT FINANCIAL ADVISORS, LLC

RIA

CRD#: 158744

CHARLOTTE, NC

Past

February 15, 2011 - October 25, 2011

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

February 22, 2010 - December 13, 2010

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CHARLOTTE, NC

Past

February 15, 2010 - December 13, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CHARLOTTE, NC

Past

August 6, 2007 - December 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLOTTE, NC

Past

July 18, 2007 - December 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLOTTE, NC

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.

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

IAR

North Carolina
(4/2/2024)

North Carolina
(10/30/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/9/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/20/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 3

Date: 5/24/2023

National Commodity Futures Examination

General Industry/Product Exam

Series 34

Date: 11/14/2022

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/2/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/2/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OMEGA WEALTH MANAGEMENT, LLC

OMEGA WEALTH MANAGEMENT | OMEGA WEALTH MANAGEMENT, LLC

CRD#: 330209 / SEC#:

North Carolina

Registered Investment Advisory firm - (4/2/2024 Approved)

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Contact information

Main Address

17210 Westmill Lane, Charlotte, NC 28277

Mailing Address

Phone number

(980) 318-9327

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

Mahendra S. Rathore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mahendra Singh Rathore's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATION PARTNERS LLC

ALLY INVEST ADVISORS

ALLY INVEST SECURITIES LLC

OMEGA WEALTH MANAGEMENT, LLC

CHELSEA FINANCIAL SERVICES

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

ALIGHT FINANCIAL SOLUTIONS, LLC

ALIGHT FINANCIAL ADVISORS, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/2017

Series 66

Date: 10/20/2014

Series 3

Date: 5/24/2023

Series 34

Date: 11/14/2022

SIE

Date: 10/1/2018

Series 7

Date: 1/2/2015

Series 24

Date: 11/2/2017

FINRA

Current Firm

OMEGA WEALTH MANAGEMENT, LLC

Contact information

Documents

Red Flags

Company Information

OMEGA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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