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RA

Rishi Agarwal

CANDLEWOOD SECURITIES
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 5941271
RA

Professional summary

Rishi Agarwal is a registered financial professional currently at CANDLEWOOD SECURITIES, LLC located in Cleveland, Ohio.

Rishi is registered as a RR (Registered Representative) and started their career in finance in 2011. Rishi has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 79 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 Rishi Agarwal'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

November 25, 2019 - Present

CANDLEWOOD SECURITIES, LLC

Office #1: 600 Superior Ave. E, Suite 1800, Cleveland, OH 44114
BD
CRD#: 126042
Cleveland, OH
Past

July 26, 2011 - July 2, 2013

MOELIS & COMPANY LLC

BD
CRD#: 145115
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

State Security Law Exam
RR
Series 63
Date: 8/22/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/25/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/25/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/25/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CANDLEWOOD SECURITIES, LLC
CANDLEWOOD SECURITIES, LLC

CRD#: 126042 / SEC#: , 8-65845

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

Main Address
600 Superior Ave. E, Suite 1800, Cleveland, OH 44114
Mailing Address
600 Superior Ave. E, Suite 1800, Cleveland, OH 44114
Phone number
(216) 472-6660
Established
Ohio since 09/09/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CANDLEWOOD HOLDINGS LLCLLC OWNER
DIJOHN, ANTHONY JOHNFINOP6370306
HOFFMAN, MATTHEW THOMASCHIEF COMPLIANCE OFFICER1144872
LATKOVIC, STEPHEN JOSEPHCEO5554842
POLLACK, GLENN CRAIGMANAGING MEMBER / DIRECTOR3155575

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

CANDLEWOOD SECURITIES, LLC

CRD#: 126042Cleveland, OH 44114

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