Ravi D. Arps
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.
Ravi Dewayne Arps, who also goes by Ravi Arps, was a registered financial professional .
Ravi is a previously registered financial professional and started their career in finance in 2014. Ravi had worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2018 - June 12, 2019
SGMA CAPITAL MARKETS LIMITED
November 9, 2015 - December 16, 2024
WEILD & CO.
December 8, 2014 - October 30, 2015
BROOKS, HOUGHTON SECURITIES, INC.
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
Current Firm
SGMA CAPITAL MARKETS LIMITED
CRD#: 135327 / SEC#: , 8-66911
Contact information
FINRA licenses (7 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.
