Kulwinder K. Bains
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.
Kulwinder Kenea Bains, who also goes by Kulwinder Bains, was a registered financial professional .
Kulwinder is a previously registered financial professional and started their career in finance in 2014. Kulwinder had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2015 - April 27, 2016
CALIFORNIA FINANCIAL ADVISORS
December 24, 2014 - April 15, 2016
FOOTHILL SECURITIES, INC.
Primary Firm SEC Registration
CALIFORNIA FINANCIAL ADVISORS
CRD#: 110152 / SEC#: 801-55273
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
CALIFORNIA FINANCIAL ADVISORS
CRD#: 110152 / SEC#: 801-55273
Contact information
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,335 |
| AUM (Assets Under Management) | $ 2,001,685,989 |
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.
