Saumya Swaroop
Professional Summary
Saumya Swaroop is a registered financial advisor currently at BRITEHORN SECURITIES located in Denver, Colorado. Saumya is registered as a RR (Registered Representative) and started their career in finance in 2015. Saumya has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
ANDREWS PARTNERS | LOHI SECURITIES | KEATING SECURITIES, LLC | KEATING INVESTMENTS, LLC | GIA SECURITIES, INC. | BRITEHORN SECURITIES | ANDREWS SECURITIES, LLC
Contact Information
Main Address
1401 Lawrence St Suite 1600, Denver, CO 80202Mailing Address
1401 Lawrence St Suite 1600, Denver, CO 80202Phone Number
(720) 465-5305Established
Colorado since 10/31/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(8/22/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Jul 2015About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Saumya Swaroop's CRS (Customer Relationship Summary).
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