Praveen Sharma
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.
Praveen Sharma was a registered financial professional .
Praveen is a previously registered financial professional and started their career in finance in 2010. Praveen had worked at 1 firm and has passed the 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
May 24, 2010 - November 12, 2014
MISMI, INC.
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
MISMI, INC.
CRD#: 147058 / SEC#: , 8-67871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TL VENTURES V L.P. | SHAREHOLDER COM./PREF. | |
| CERIA, SEBASTIAN | BOARD MEMBER | |
| CERIA, SEBASTIAN | SHAREHOLDER COMMON | |
| RK AXIOMA INVESTMENT GROUP, LLC | SHAREHOLDER COM./PREF | |
| SATURN PARTNERS, L.P. II | SHAREHOLDER COM./PREF. | |
| GUTTMAN, WILLIAM | SHAREHOLDER COMMON | |
| GUTTMAN, WILLIAM | BOARD MEMBER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| GOERZ (III), DAVID JONATHAN | BOARD MEMBER | |
| KEARNS, PETER A | EXECUTIVE CHAIRMAN | 2518315 |
| PAPANDREADIS, ANDREW | SHAREHOLDER COMMON | |
| SCHNEID, JARED DAVID | CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER | 850418 |
Red Flags
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