Roshan Maharjan

ROBINHOOD FINANCIAL

Denver, CO 80202

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CRD#: 6362509

Professional summary

Roshan Maharjan is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Denver, Colorado and ROBINHOOD SECURITIES, LLC located in Denver, Colorado.

Roshan is registered as a RR (Registered Representative) and started their career in finance in 2014. Roshan has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 6, Series 14, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Roshan Maharjan's 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

January 25, 2022 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 2373 15th St Suite 300, Denver, CO 80202

CRD#: 165998

Denver, CO

Current

October 5, 2023 - Present

ROBINHOOD SECURITIES, LLC

Office #1: 2373 15th St Suite 300, Denver, CO 80202

CRD#: 287900

Denver, CO

Past

July 16, 2014 - January 10, 2022

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(1/25/2022)

Exams

State Security Law Exam

Series 63

Date: 7/25/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 4/15/2025

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/16/2014

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 4/4/2024

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 6/9/2022

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/5/2020

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROBINHOOD SECURITIES, LLC

CRD#: 287900 / SEC#: , 8-69916

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

Mailing Address

500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

Phone number

(650) 761-7789

Established

Delaware since 10/27/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ROBINHOOD MARKETS, INC	MEMBER
BILLINGS, MATTHEW JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	1915377
CAVALLARO, ANTHONY JOSEPH	CHIEF COMPLIANCE OFFICER	1607925
GALVIN, SCOT SEAN	CHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER	3226179
KELATI, DANIEL T	CHIEF FINANCIAL OFFICER AND FINOP	3103432
QUIRK, STEVEN MARK	MANAGER	2728768
SUBRAMANIAN, SIVARAMAKRISHNAN	MANAGER	7339479

Disclosures

Regulatory Event	2
Arbitration	3

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Roshan Maharjan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roshan Maharjan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBINHOOD SECURITIES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/2014

Series 57TO

Date: 4/15/2025

SIE

Date: 10/1/2018

Series 7

Date: 3/21/2017

Series 6

Date: 7/16/2014

Series 14

Date: 4/4/2024

Series 4

Date: 6/9/2022

Series 24

Date: 5/5/2020

FINRA

Current Firm

ROBINHOOD SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROBINHOOD SECURITIES, LLC

TRUST BUT VERIFY

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