Saurabh K. Pandey
Professional summary
Saurabh Kumar Pandey, who also goes by Saurabh K Pandey, is a registered financial professional currently at CTC, LLC located in Chicago, Illinois.
Saurabh is registered as a RR (Registered Representative) and started their career in finance in 2012. Saurabh has worked at 5 firms and has passed the Series 57TO, SIE, Series 7 and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Saurabh Kumar Pandey's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 19, 2024 - Present
CTC, LLC
Office #1: 425 S. Financial Place 4th Floor, Chicago, IL 60605Office #2: 425 S. Financial Place 4th Floor, Chicago, IL 60605September 12, 2016 - May 2, 2023
IMC FINANCIAL MARKETS
July 1, 2014 - August 20, 2014
SAL EQUITY TRADING, GP
February 25, 2014 - January 20, 2015
SUSQUEHANNA INVESTMENT GROUP
November 12, 2012 - June 17, 2016
SUSQUEHANNA SECURITIES, 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: 1/2/2023
Securities Trader ExamSeries 56
Date: 11/10/2012
Proprietary Trader Qualification ExaminationCboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
CTC, LLC
CRD#: 44597 / SEC#: , 8-50758
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
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