Babita B. Bharwani
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.
Babita Bhagwan Bharwani was a registered financial professional .
Babita is a previously registered financial professional and started their career in finance in 2014. Babita had worked at 2 firms and has passed the Series 16 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2015 - November 19, 2018
CLSA AMERICAS, LLC
June 18, 2015 - August 12, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 2014 - February 20, 2015
CLSA AMERICAS, LLC
State Registrations and Notice Filings
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Current Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
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.
