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PL

Prachi A. Lakhani

OCM INVESTMENTS
New York, NY 10019
Some features on this profile are disabled
CRD#: 5376308
PL

Professional summary

Prachi Arvind Lakhani, who also goes by Prachi Lakhani, is a registered financial professional currently at OCM INVESTMENTS, LLC located in New York, New York.

Prachi is registered as a RR (Registered Representative) and started their career in finance in 2007. Prachi has worked at 3 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Prachi Lakhani

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 Prachi Arvind Lakhani'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

April 25, 2024 - Present

OCM INVESTMENTS, LLC

Office #1: 1301 Avenue Of The Americas 34th Floor, New York, NY 10019
BD
CRD#: 128803
New York, NY
Past

May 3, 2010 - April 23, 2024

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

November 15, 2007 - April 6, 2010

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

September 19, 2007 - April 6, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(4/25/2024)
RR
Alaska
(4/25/2024)
RR
Arizona
(4/25/2024)
RR
Arkansas
(4/25/2024)
RR
California
(4/25/2024)
RR
Colorado
(4/25/2024)
RR
Connecticut
(4/25/2024)
RR
Delaware
(4/25/2024)
RR
District of Columbia
(4/25/2024)
RR
Florida
(4/25/2024)
RR
Georgia
(4/25/2024)
RR
Hawaii
(4/25/2024)
RR
Idaho
(4/25/2024)
RR
Illinois
(4/25/2024)
RR
Indiana
(4/25/2024)
RR
Iowa
(4/25/2024)
RR
Kansas
(4/25/2024)
RR
Kentucky
(4/25/2024)
RR
Louisiana
(4/25/2024)
RR
Maine
(4/25/2024)
RR
Maryland
(4/25/2024)
RR
Massachusetts
(4/25/2024)
RR
Michigan
(4/25/2024)
RR
Minnesota
(4/25/2024)
RR
Mississippi
(4/25/2024)
RR
Missouri
(4/25/2024)
RR
Montana
(4/25/2024)
RR
Nebraska
(4/25/2024)
RR
Nevada
(4/25/2024)
RR
New Hampshire
(4/25/2024)
RR
New Jersey
(4/25/2024)
RR
New Mexico
(4/25/2024)
RR
New York
(4/25/2024)
RR
North Carolina
(4/25/2024)
RR
North Dakota
(4/25/2024)
RR
Ohio
(4/25/2024)
RR
Oklahoma
(4/25/2024)
RR
Oregon
(4/25/2024)
RR
Pennsylvania
(4/25/2024)
RR
Puerto Rico
(4/25/2024)
RR
Rhode Island
(4/25/2024)
RR
South Carolina
(4/25/2024)
RR
South Dakota
(4/25/2024)
RR
Tennessee
(4/25/2024)
RR
Texas
(4/25/2024)
RR
Utah
(4/25/2024)
RR
Vermont
(4/25/2024)
RR
Virginia
(4/25/2024)
RR
Washington
(4/25/2024)
RR
West Virginia
(4/25/2024)
RR
Wisconsin
(4/25/2024)
RR
Wyoming
(4/25/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/14/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/7/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OI
OCM INVESTMENTS, LLC
OCM INVESTMENTS, LLC

CRD#: 128803 / SEC#: , 8-66176

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Mailing Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Phone number
(213) 830-6300
Established
Delaware since 08/04/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OAKTREE CAPITAL MANAGEMENT, L.P.MANAGING MEMBER106793
EDWARDS, JOHN BREWERFINOP/CFO4714451
TOOMEY, MICHAEL PATRICKCCO4482914
TREFZ, MICHAEL CONSTANTINECHIEF EXECUTIVE OFFICER3144335

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.

Company Information

OCM INVESTMENTS, LLC

CRD#: 128803New York, NY 10019

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