Dhaval A. Parikh
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.
Dhaval A Parikh, who also goes by Dhaval Parikh, Dhaval Ajit Parikh, was a registered financial professional .
Dhaval is a previously registered financial professional and started their career in finance in 2010. Dhaval had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2017 - May 13, 2024
ARES MANAGEMENT CAPITAL MARKETS LLC
August 21, 2017 - August 31, 2017
METLIFE INVESTMENTS SECURITIES, LLC
June 30, 2016 - July 14, 2016
METLIFE INVESTORS DISTRIBUTION COMPANY
January 19, 2016 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
December 1, 2010 - July 21, 2015
BLACKROCK INVESTMENTS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
Contact information
FINRA licenses (51 States and Territories)
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.
