Karthik V. Bhavaraju
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.
Karthik Venkata Bhavaraju was a registered financial professional .
Karthik is a previously registered financial professional and started their career in finance in 2014. Karthik had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 79 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 24, 2020 - March 8, 2024
TENEO SECURITIES LLC
June 19, 2014 - October 28, 2020
GOLDIN CAPITAL 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
TENEO SECURITIES LLC
CRD#: 151256 / SEC#: , 8-68354
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TENEO CAPITAL CORPORATION | SOLE MEMBER | |
| BOGUSLASKI, CHARLES ROBERT | CHIEF OFFICER | 4845807 |
| HALLERAN, KRISTIN MARIE | CHIEF COMPLIANCE OFFICER | 4726430 |
| POLKOWITZ, GARY CRAIG | MEMBER OF BOARD OF DIRECTORS | 2866014 |
| ROTHENBERG, SHARI P | FINOP/PFO/POO | 6590875 |
| SULLIVAN, STEVEN MICHAEL | MEMBER OF BOARD OF DIRECTORS | 5162216 |
Disclosures
| Regulatory Event | 1 |
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.
