Sukhdeep Dherari
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.
Sukhdeep Dherari, who also goes by Sukh Dherari, was a registered financial professional .
Sukhdeep is a previously registered financial professional and started their career in finance in 2010. Sukhdeep had worked at 5 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
February 23, 2016 - April 11, 2016
LUCIA CAPITAL GROUP
February 18, 2016 - April 11, 2016
LUCIA SECURITIES, LLC
October 3, 2014 - November 7, 2014
CCO CAPITAL, LLC
January 3, 2012 - September 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 2011 - September 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2010 - October 25, 2010
MORGAN STANLEY
State Registrations and Notice Filings
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Exams
Current Firm
LUCIA CAPITAL GROUP
CRD#: 152396 / SEC#: 801-71073
Contact information
Red Flags
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