Harkaran S. Talwar

SOINA FINANCIAL GROUP

ALPHARETTA, GA 30009

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CRD#: 5779156

Professional summary

Harkaran Singh Talwar is a registered financial advisor currently at SOINA FINANCIAL GROUP, LLC located in Alpharetta, Georgia.

Harkaran is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Harkaran has worked at 3 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Harkaran Singh Talwar'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

August 18, 2023 - Present

SOINA FINANCIAL GROUP, LLC

Office #1: 12890 Keystone Ct, Alpharetta, GA 30009

RIA

CRD#: 326460

ALPHARETTA, GA

Past

September 3, 2015 - September 19, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 14, 2012 - June 3, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(8/18/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/27/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/23/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/13/2012

General Securities Representative Examination

Current Firm

SOINA FINANCIAL GROUP, LLC

CRD#: 326460 / SEC#:

Georgia

Registered Investment Advisory firm - (8/18/2023 Approved)

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Contact information

Main Address

12890 Keystone Ct, Alpharetta, GA 30009

Mailing Address

Phone number

(267) 457-4644

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 1,211,742

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.

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Harkaran S. Talwar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harkaran Singh Talwar's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOINA FINANCIAL GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BARCLAYS CAPITAL INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2023

Series 66

Date: 7/23/2012

SIE

Date: 9/19/2018

Series 7

Date: 6/13/2012

Current Firm

SOINA FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOINA FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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