Tarak J. Dave
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.
Tarak J Dave, CFA was a registered financial professional .
Tarak is a previously registered financial professional and started their career in finance in 2008. Tarak had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2013 - May 20, 2015
PROSHARE ADVISORS LLC
January 8, 2013 - May 20, 2015
PROFUNDS DISTRIBUTORS, INC.
July 28, 2010 - April 12, 2011
T. ROWE PRICE ADVISORY SERVICES, INC.
November 21, 2008 - April 12, 2011
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
PROSHARE ADVISORS LLC
CRD#: 134155 / SEC#: 801-64181
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
Current Firm
PROSHARE ADVISORS LLC
CRD#: 134155 / SEC#: 801-64181
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 131 |
| AUM (Assets Under Management) | $ 74,000,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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