Neetesh Rathod
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.
Neetesh Rathod was a registered financial professional .
Neetesh is a previously registered financial professional and started their career in finance in 2011. Neetesh had worked at 2 firms and has passed the SIE, Series 57 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
June 1, 2017 - April 5, 2018
BENGAL CAPITAL TRADING LLC
May 24, 2011 - January 26, 2015
NOLITA CAPITAL, 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
Current Firm
BENGAL CAPITAL TRADING LLC
CRD#: 165173 / SEC#: , 8-69146
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENGAL CAPITAL HOLDINGS LLC | MEMBER | |
| TOLIA, SANJAY | MANAGER OF MANAGER, CCO AND AML | 5238748 |
Disclosures
| Regulatory Event | 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.
