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Rushikesh K. Phapale

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
BOSTON, MA 02114
Some features on this profile are disabled
CRD#: 5853080
RP

Professional summary

Rushikesh Khandu Phapale is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.

Rushikesh is registered as a RR (Registered Representative) and started their career in finance in 2011. Rushikesh has worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Rushikesh Khandu Phapale'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

July 17, 2023 - Present

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

Office #1: One Congress Street, Boston, MA 02114
BD
CRD#: 30107
BOSTON, MA
Past

January 28, 2016 - January 26, 2022

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

March 10, 2011 - June 17, 2015

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/7/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/30/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC

CRD#: 30107 / SEC#: , 8-44744

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STATE STREET GLOBAL ADVISORS, INC.PARENT CORPORATION
ALBERICI, MARK FDIRECTOR3223458
AMOA, APEAWUSU KDIRECTOR7711546
BONDS MAZZA, ALLISON HATHHORNPRESIDENT AND DIRECTOR4439495
CORBETT, TIMOTHY PAULDIRECTOR
FERRARELLI, JAMESDIRECTOR6961735
LAPORTA, JEANNE MARIEDIRECTOR & CHAIRWOMAN5946908
TENORIO, EDITHA VCHIEF FINANCIAL OFFICER6755490
TRABUCCO, MARK RUSSELLCHIEF COMPLIANCE OFFICER4856280
TUCKER, JOHN ADIRECTOR7000761

Disclosures

Regulatory Event17

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.

Company Information

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107Boston, MA 02114

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