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AB

Alisha K. Bhardwaj

TRILLIUM INVESTMENTS
Emeryville, CA 94608
Some features on this profile are disabled
CRD#: 5434297
AB

Professional summary

Alisha Kathryn-shin Bhardwaj, who also goes by Alisha Kathryn Keenan, Alisha Kathryn-shin Keenan, Alisha Kennan, is a registered financial advisor currently at TRILLIUM INVESTMENTS located in Emeryville, California.

Alisha is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Alisha has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alisha Kathryn Keenan | Alisha Kathryn-Shin Keenan | Alisha Kennan

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) - RIA

Click below to view Alisha Kathryn-shin Bhardwaj'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

January 2, 2020 - Present

TRILLIUM INVESTMENTS

Office #1: 1398 55th Street, Emeryville, CA 94608
RIA
CRD#: 300353
Emeryville, CA
Past

October 5, 2009 - September 30, 2019

MORGAN STANLEY

RIA
CRD#: 149777
OAKLAND, CA
Past

June 1, 2009 - September 30, 2019

MORGAN STANLEY

BD
CRD#: 149777
OAKLAND, CA
Past

July 14, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
OAKLAND, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TI
TRILLIUM INVESTMENTS
BHARDWAJ, NIKHIL | TRILLIUM INVESTMENTS LLC | TRILLIUM INVESTMENTS | CARLSON FINANCIAL MANAGEMENT

CRD#: 300353 / SEC#: 801-132408

RIA
Registered Investment Advisory firm - (4/14/2025 Approved)
California
Registered Investment Advisory firm - (5/25/2025 Terminated)

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.

Highlighted states indicate IAR registrations

IAR
California
(1/2/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/2/2009
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 7
Date: 7/12/2008
General Securities Representative Examination

Current Firm

TI
TRILLIUM INVESTMENTS
BHARDWAJ, NIKHIL | TRILLIUM INVESTMENTS LLC | TRILLIUM INVESTMENTS | CARLSON FINANCIAL MANAGEMENT

CRD#: 300353 / SEC#: 801-132408

RIA
Registered Investment Advisory firm - (4/14/2025 Approved)
California
Registered Investment Advisory firm - (5/25/2025 Terminated)
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Contact information

Main Address
1398 55th Street, Emeryville, CA 94608
Mailing Address
Phone number
(510) 601-8800
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (2 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TRILLIUM INVESTMENTS LLC (3/13/2025)
ALISHA BHARDWAJ (3/13/2025)
NIKHIL BHARDWAJ (3/13/2025)

Regulatory assets under management

Total Number of Accounts225
AUM (Assets Under Management)$ 114,153,344

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

TRILLIUM INVESTMENTS

CRD#: 300353Emeryville, CA 94608

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