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DS

Dhruv Sarna

SPC CAPITAL MARKETS LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 5567449
DS

Professional summary

Dhruv Sarna is a registered financial professional currently at SPC CAPITAL MARKETS LLC located in Greenwich, Connecticut.

Dhruv is registered as a RR (Registered Representative) and started their career in finance in 2012. Dhruv has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

top-8-questions

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 Dhruv Sarna'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

January 29, 2020 - Present

SPC CAPITAL MARKETS LLC

Office #1: 20 Horseneck Lane First Floor, Greenwich, CT 06830Office #2: One Vanderbilt Avenue 50th Floor, New York City, NY 10017
BD
CRD#: 304381
Greenwich, CT
Past

December 20, 2012 - April 19, 2017

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
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
Connecticut
(2/21/2020)
RR
New York
(4/6/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 1/11/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/28/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/19/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/19/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SPC CAPITAL MARKETS LLC
SPC CAPITAL MARKETS LLC

CRD#: 304381 / SEC#: , 8-70350

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

Main Address
20 Horseneck Lane First Floor, Greenwich, CT 06830
Mailing Address
20 Horseneck Lane First Floor, Greenwich, CT 06830
Phone number
(203) 862-2900
Established
Delaware since 05/10/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SPC CAPITAL MARKETS HOLDINGS LLCDIRECT OWNER
GREGORICH, MICHAEL DANIELPRINCIPAL2405109
MEYER, JERRY MICHAELCCO, COO, PFO & POO2601354

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

SPC CAPITAL MARKETS LLC

CRD#: 304381Greenwich, CT 06830

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