Tejpal S. Ahluwalia

CANNELL & SPEARS LLC

NEW YORK, NY 10022

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CRD#: 5930512

Professional summary

Tejpal Singh Ahluwalia, who also goes by Tej Singh Ahluwalia, Tejpal Ahluwalia, Tj Singh Ahluwalia, Tejpal Singh Ahluwalia, is a registered financial advisor currently at CANNELL & SPEARS LLC located in New York, New York.

Tejpal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Tejpal has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tej Singh Ahluwalia | Tejpal Ahluwalia | Tj Singh Ahluwalia | Tejpal Singh Ahluwalia

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) - RIA

Click below to view Tejpal Singh Ahluwalia's CRS (Customer Relationship Summary).

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 29, 2021 - Present

CANNELL & SPEARS LLC

Office #1: 535 Madison Avenue 14th Floor, New York, NY 10022

RIA

CRD#: 142633

NEW YORK, NY

Past

February 9, 2018 - April 7, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

February 2, 2018 - April 7, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

March 9, 2017 - August 16, 2017

STEPHENS

CRD#: 3496

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CANNELL & SPEARS LLC

CANNELL & SPEARS LLC | WG SPEARS LLC | SPEARS ABACUS ADVISORS LLC

CRD#: 142633 / SEC#: 801-67401

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

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

New York
(7/29/2021)

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: 5/1/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/1/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/29/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/2017

General Securities Representative Examination

Current Firm

CANNELL & SPEARS LLC

CANNELL & SPEARS LLC | WG SPEARS LLC | SPEARS ABACUS ADVISORS LLC

CRD#: 142633 / SEC#: 801-67401

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

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Contact information

Main Address

535 Madison Avenue 14th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 752-5255

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE AND BROCHURE SUPPLEMENT (5/22/2025)

Regulatory assets under management

Total Number of Accounts	2,486
AUM (Assets Under Management)	$ 6,316,371,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/11/2025	Cover Page	Report
03/13/2025	Cover Page	Report
03/13/2025	Cover Page	Report
03/13/2025	Cover Page	Report
03/13/2025	Cover Page	Report
05/23/2023	Cover Page	Report

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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Firm Stability Insights

Tejpal S. Ahluwalia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tejpal Singh Ahluwalia's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STEPHENS

Primary Firm SEC Registration

CANNELL & SPEARS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/1/2018

Series 63

Date: 5/1/2017

Series 7TO

Date: 3/29/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/9/2017

Current Firm

CANNELL & SPEARS LLC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CANNELL & SPEARS LLC

TRUST BUT VERIFY

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