Anuj K. Varma
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.
Anuj Kumar Varma, who also goes by Anuj Varma, was a registered financial professional .
Anuj is a previously registered financial professional and started their career in finance in 2007. Anuj had worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2016 - May 11, 2020
TRITON PACIFIC CAPITAL, LLC
October 28, 2008 - July 18, 2011
PROBITAS FUNDS GROUP, LLC
August 13, 2007 - August 8, 2008
JEFFERIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/5/2024
General Securities Representative ExaminationCurrent Firm
TRITON PACIFIC CAPITAL, LLC
CRD#: 40817 / SEC#: , 8-49205
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
