Brendan Sookraj

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CRD#: 6485509

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.

Brendan Sookraj, who also goes by Brendan Shivanand Sookraj, was a registered financial professional .

Brendan is a previously registered financial professional and started their career in finance in 2015. Brendan had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brendan Shivanand Sookraj

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 8, 2019 - September 23, 2021

401K GENERATION

RIA

CRD#: 154279

ALTAMONTE SPRINGS,, FL

Past

August 9, 2018 - September 25, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ORLANDO, FL

Past

July 10, 2018 - September 25, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ORLANDO, FL

Past

April 4, 2017 - March 15, 2018

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ORLANDO, FL

Past

November 23, 2016 - January 17, 2017

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

ORLANDO, FL

Past

November 2, 2016 - January 17, 2017

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

ORLANDO, FL

Past

March 15, 2016 - July 1, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ORLANDO, FL

Past

October 30, 2015 - July 1, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ORLANDO, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

401K GENERATION

401K GENERATION | WINTER PARK WEALTH MANAGEMENT | RW DIRECT | ROJAS FINANCIAL SERVICES

CRD#: 154279 / SEC#: 801-71606

RIA

Registered Investment Advisory firm - (6/25/2010 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/11/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/30/2015

General Securities Representative Examination

Current Firm

401K GENERATION

401K GENERATION | WINTER PARK WEALTH MANAGEMENT | RW DIRECT | ROJAS FINANCIAL SERVICES

CRD#: 154279 / SEC#: 801-71606

RIA

Registered Investment Advisory firm - (6/25/2010 Approved)

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Contact information

Main Address

237 S Westmonte Drive Suite 300, Altamonte Springs,, FL 32714

Mailing Address

Phone number

(407) 636-6689

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	149
AUM (Assets Under Management)	$ 172,885,459

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.

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Advisor Monitoring

Firm Stability Insights

Brendan Sookraj

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

TRUIST INVESTMENT SERVICES, INC.

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

401K GENERATION

State Registrations and Notice Filings

Exams

Series 66

Date: 3/11/2016

SIE

Date: 9/25/2018

Series 7

Date: 10/30/2015

Current Firm

401K GENERATION

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

401K GENERATION

TRUST BUT VERIFY

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