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Pratik Biswas

MILLENNIUM ADVISORS
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 5397280
PB

Professional summary

Pratik Biswas is a registered financial professional currently at MILLENNIUM ADVISORS, LLC located in Charlotte, North Carolina.

Pratik is registered as a RR (Registered Representative) and started their career in finance in 2007. Pratik has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Pratik Biswas'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®
None

Experience

Current

July 7, 2025 - Present

MILLENNIUM ADVISORS, LLC

Office #1: 11605 N Community House Dr Suite 550, Charlotte, NC 28277
BD
CRD#: 151236
Charlotte, NC
Past

December 12, 2023 - July 23, 2025

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

June 15, 2016 - September 21, 2023

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 30, 2014 - June 17, 2016

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

February 8, 2010 - September 5, 2014

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

October 24, 2007 - June 5, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
North Carolina
(7/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/26/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 8/1/2019
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/13/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MILLENNIUM ADVISORS, LLC
MILLENNIUM ADVISORS, LLC

CRD#: 151236 / SEC#: , 8-68349

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

Main Address
11605 N Community House Dr Suite 550, Charlotte, NC 28277
Mailing Address
11605 N Community House Dr. Suite 550, Charlotte, NC 28277
Phone number
(980) 213-2300
Established
North Carolina since 06/29/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MILLENNIUM CONSOLIDATED HOLDINGS LLCOWNER
BROWN, DOUGLAS BENEDICTCCO, AML SUPERVISOR5063686
CHAPPELLE, DAVID WALTERMEMBER, GENERAL PRINCIPAL4721739
CONVERY, DANIEL KPRINCIPAL OPERATIONS OFFICER6571439
HEALY, MICHAEL GEORGECHIEF EXECUTIVE OFFICER3011582
LEE, CHRISTY ROSSCFO, FINOP, PRINCIPAL FINANCIAL OFFICER4926666

Disclosures

Regulatory Event1

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

MILLENNIUM ADVISORS, LLC

CRD#: 151236Charlotte, NC 28277

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