Roshan R. Punjabi
Professional summary
Roshan Ramesh Punjabi, who also goes by Roshan Ramesh Punjabi, Roshan Punjabi, is a registered financial professional currently at FTP SECURITIES LLC located in New York, New York.
Roshan is registered as a RR (Registered Representative) and started their career in finance in 2014. Roshan has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roshan Ramesh Punjabi's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 3, 2025 - Present
FTP SECURITIES LLC
Office #1: 90 Park Ave 16th Floor, New York, NY 10016August 17, 2021 - July 2, 2025
GUGGENHEIM SECURITIES, LLC
October 15, 2019 - August 31, 2021
MOELIS & COMPANY LLC
October 24, 2017 - October 15, 2019
DEUTSCHE BANK SECURITIES INC.
July 22, 2014 - October 5, 2017
JEFFERIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/3/2025)
Exams
Series 7TO
Date: 1/13/2020
General Securities Representative ExaminationFINRA
Current Firm
FTP SECURITIES LLC
CRD#: 129356 / SEC#: , 8-66218
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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