Raman J. Singh

SINGH PWM LLC

Phoenix, AZ

CRD#: 5899381

Professional summary

Raman J Singh, CFP®, who also goes by Raman Jot Singh, is a registered financial advisor currently at SINGH PWM LLC located in Phoenix, Arizona.

Raman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Raman has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Raman Jot Singh

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.

Varsity Tutors LLC, non investment related, 101 South Hanley Road Suite 300 Clayton MO 63105, Tutoring students on FINRA licenses, tutor, 09/01/2022, 20 hours per week RRJR Enterprises, LLC, noninvestment related, 3829 N 4th ST. Phoenix, AZ 85012, Distributor & Reseller of Leather Products, Managing partner, 09/2022. 20 hours per month Montoya Wealth Management, Investment related, a Registered Investment Advisor CRD # 285039 located at 2069 Willow Creek Road, Prescott, AZ 86301, Paraplanning & Investment Advisory Representative Services, assist the Co-Founders with case-design, developing client solutions, provide meeting prep services, and directly works with Montoya Wealth Clients on an as needed basis, 11/1/2023, 25 Hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raman J Singh'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®

CFP^®

CRD#: 2881

TAMPA, FL

Past

September 18, 2015 - January 26, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SARASOTA, FL

Past

August 28, 2015 - January 25, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SARASOTA, FL

Past

October 15, 2014 - August 3, 2015

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

HOUSTON, TX

Past

September 5, 2012 - November 19, 2014

MORGAN STANLEY

RIA

CRD#: 149777

HOUSTON, TX

Past

August 8, 2012 - November 19, 2014

MORGAN STANLEY

CRD#: 149777

HOUSTON, TX

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(6/7/2023)

IAR

Texas
(8/23/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/4/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2012

General Securities Representative Examination

Current Firm

SINGH PWM LLC

SINGH PRIVATE WEALTH MANAGEMENT LLC | SINGH PWM LLC

CRD#: 326033 / SEC#:

Arizona

Registered Investment Advisory firm - (6/7/2023 Approved)

Texas

Registered Investment Advisory firm - (8/23/2023 Conditional Restricted)

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Contact information

Main Address

Phoenix, AZ

Mailing Address

Phone number

(480) 420-4824

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	58
AUM (Assets Under Management)	$ 16,500,000

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.

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Advisor Monitoring

Firm Stability Insights

Raman J. Singh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raman J Singh's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONTOYA WEALTH MANAGEMENT

FACET

MUTUAL TRUST ASSET MGMT., INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

COREBRIDGE CAPITAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2012

SIE

Date: 3/28/2018

Series 7

Date: 8/7/2012

Current Firm

SINGH PWM LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SINGH PWM LLC

TRUST BUT VERIFY

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