Pragati Kumar
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.
Pragati Kumar, who also goes by Pragati Srivastava, was a registered financial professional .
Pragati is a previously registered financial professional and started their career in finance in 2009. Pragati had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2017 - November 3, 2023
UNITED CAPITAL FINANCIAL ADVISORS
September 9, 2015 - May 31, 2017
SVB WEALTH
October 1, 2014 - March 11, 2015
EAGLE STRATEGIES LLC
July 24, 2014 - March 11, 2015
NYLIFE SECURITIES LLC
October 10, 2011 - September 24, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2011 - September 24, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2009 - January 27, 2011
WADDELL & REED
April 14, 2009 - January 27, 2011
WADDELL & REED
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
