Prerak Sanghvi
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.
Prerak Sanghvi, who also goes by Prerak Pukhraj Sanghui, Prerak Pukhraj Sanghvi, was a registered financial professional .
Prerak is a previously registered financial professional and started their career in finance in 2012. Prerak had worked at 4 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 99 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2022 - September 27, 2024
CLEAR STREET LLC
July 20, 2020 - May 18, 2022
PROOF SERVICES LLC
September 17, 2013 - June 18, 2019
IEX SERVICES LLC
June 25, 2012 - May 6, 2013
RBC CAPITAL MARKETS, LLC
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
Series 57TO
Date: 2/1/2020
Securities Trader ExamSeries 7TO
Date: 1/16/2020
General Securities Representative ExaminationCurrent Firm
CLEAR STREET LLC
CRD#: 288933 / SEC#: , 8-69972
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLEAR STREET HOLDINGS LLC | SOLE CLASS A MEMBER | |
| AUSUBEL, ELLI MARK | DIRECTOR | 5715145 |
| COHEN, URIEL EPHRAIM | DIRECTOR | 4089765 |
| HAMMERICH, DALF PAUL | HEAD OF SUPPORT | 4710381 |
| MOCCIA, CHRISTY NOEL | CHIEF COMPLIANCE OFFICER | 4855629 |
| OLIVEIRA, BRIAN | CFO/FINOP/PRINCIPAL FINANCIAL OFFICER | 5371120 |
| SICKLICK, KENNETH | DIRECTOR | 7418830 |
| VOLZ, ANDREW | DIRECTOR, CHIEF EXECUTIVE OFFICER | 4808674 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
