PR
Prathumna T. Reddy
PERCENT SECURITIES
New York, NY 10022
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CRD#: 5564911
PR
Professional summary
Prathumna T Reddy, who also goes by Prath Reddy, is a registered financial professional currently at PERCENT SECURITIES, LLC located in New York, New York.
Prathumna is registered as a RR (Registered Representative) and started their career in finance in 2011. Prathumna has worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Prath Reddy
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.
CRS (Client Relationship Summary) - BD
Click below to view Prathumna T Reddy'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®
NoneExperience
Current
August 11, 2023 - Present
PERCENT SECURITIES, LLC
Office #1: 145 East 57th Street, New York, NY 10022BD
CRD#: 314782
New York, NY
Past
August 21, 2020 - August 9, 2023
GT SECURITIES, INC.
BD
CRD#: 116012
New York, NY
Past
August 23, 2013 - September 25, 2018
UBS SECURITIES LLC
BD
CRD#: 7654
STAMFORD, CT
Past
July 13, 2011 - August 9, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
BD
CRD#: 190
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
Alabama(9/19/2023)
RR
Alaska(5/10/2024)
RR
Arizona(9/28/2023)
RR
Arkansas(7/15/2024)
RR
California(8/24/2023)
RR
Colorado(9/8/2023)
RR
Connecticut(9/27/2023)
RR
Delaware(8/31/2023)
RR
District of Columbia(9/18/2023)
RR
Florida(10/25/2023)
RR
Georgia(9/25/2023)
RR
Hawaii(9/12/2023)
RR
Idaho(10/3/2023)
RR
Illinois(4/16/2024)
RR
Indiana(10/28/2024)
RR
Iowa(10/4/2023)
RR
Kansas(10/16/2023)
RR
Kentucky(10/17/2023)
RR
Louisiana(10/9/2023)
RR
Maine(9/27/2023)
RR
Maryland(9/14/2023)
RR
Massachusetts(4/4/2024)
RR
Michigan(10/2/2023)
RR
Minnesota(2/2/2024)
RR
Mississippi(2/21/2024)
RR
Missouri(11/28/2023)
RR
Montana(5/21/2024)
RR
Nebraska(5/1/2024)
RR
Nevada(8/16/2023)
RR
New Hampshire(9/29/2023)
RR
New Jersey(11/14/2023)
RR
New Mexico(10/2/2023)
RR
New York(8/14/2023)
RR
North Carolina(9/25/2023)
RR
North Dakota(3/12/2024)
RR
Ohio(9/8/2023)
RR
Oklahoma(11/16/2023)
RR
Oregon(9/19/2023)
RR
Pennsylvania(8/16/2023)
RR
Rhode Island(8/15/2023)
RR
South Carolina(9/7/2023)
RR
South Dakota(4/23/2024)
RR
Tennessee(11/27/2023)
RR
Texas(9/22/2023)
RR
Utah(10/3/2023)
RR
Vermont(9/27/2023)
RR
Virginia(9/8/2023)
RR
Washington(8/21/2023)
RR
West Virginia(3/5/2024)
RR
Wisconsin(9/28/2023)
RR
Wyoming(11/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PERCENT SECURITIES, LLC
PERCENT SECURITIES, LLC
CRD#: 314782 / SEC#: , 8-70732
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
145 East 57th Street, New York, NY 10022
Mailing Address
145 East 57th Street, New York, NY 10022
Phone number
(646) 876-5141
Established
Delaware since 04/12/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CADENCE GROUP, INC. | MANAGING MEMBER | |
| EGAN, RICHARD CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 6571150 |
| HAYES, SUSAN ANN | FINANCIAL AND OPERATIONS PRINCIPAL & PRINCIPAL FINANCIAL OFFICER | 2856326 |
| REDDY, PRATHUMNA T | CHIEF EXECUTIVE OFFICER/PRESIDENT | 5564911 |
| SHUMBERG, IVANA M | FINANCIAL AND OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 3167225 |
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.
