RD
Rajeev Dhillon
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CRD#: 6485713
RD
Rajeev Dhillon
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.
Rajeev Dhillon, who also goes by Raj Dhillon, was a registered financial professional .
Rajeev is a previously registered financial professional and started their career in finance in 2016. Rajeev had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
Raj Dhillon
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.
I*1096273 For profit or not for profit: Entity For Profit Name of outside business organization: Whispering Ventures LLC Investment related: N Address of business: New York, New York Nature of business: ["Limited Liability Company"] Position, title, association: ["Officer"], Start date of relationship: 12/1/2022 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Act as broker to UK companies who are seeking to sell their products to departments stores and other retail companies in the U.S RENTAL PROPERTIES POSITION: Landlord NATURE: Owner of two rental properties located in United Kingdom (UK). Joint ownership with spouse No time is devoted to this activity as Hardings act as managing agents for the properties. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/19/2018 ADDRESS: , London NY , United States DESCRIPTION: collecting rental income from tenants GENIES INC POSITION: Consultant NATURE: Genies Inc: is a leading avatar technology company. It has created the most intelligent and dynamic avatars on the market. The Genies consumer app allows users to create fully personalized avatars to be used in apps such as imessage, Instagram, Facebook Messenger, Whats app and more. The company consists of also an Avatar Agency that creates digital versions of its clients - such as musician Offset, DJ Khaled, Quincy Jones, Marshmello, Alan Walker, Kodak Black, etc and the idea is to find them advertising, sponsorship and branding opportunities. Please see www.genies.com for more information. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2020 ADDRESS: , Venice CA , United States DESCRIPTION: Strategic advisor to provide general advisory services to the company. This will involve; - Attend monthly management / board meetings via virtual calls. This will take place once or twice a month consisting of one hour per call. Most of the time will be conducted outside of business hours. - Provide suggestions and input regarding the strategy of the company from a PR, Digital Marketing and advertising perspective (non- financial). - Provide general advice on the Operations of the company. - Through my personal network and where appropriate, potentially arrange introductions to other corporations such as Sony, Warner Bros and other entertainment companies who may be interested in learning more about Genies. These introductions are with non-financial companies. These are soft introductions which I will facilitate between the respective companies and CEO of Genies. The introduction is not financial in nature and will not involve any aspect of financial services. In the event that either a founding member of the company (Genies Inc) becomes a client of Truist or the investment bank is selected in any capacity to either raise capital or represent the company in a 'buy side' or 'sell-side' mandate, I will immediately resign as a strategic advisor to the company. I*1096272 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Birmingham, , B120AF Nature of business: Position, title, association: Co-owner with non-family members Start date of relationship: 12/1/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0
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®
NoneExperience
Past
November 22, 2022 - June 12, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
November 22, 2022 - June 12, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 1, 2019 - September 26, 2022
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
NEW YORK, NY
Past
May 1, 2019 - September 26, 2022
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
NEW YORK, NY
Past
February 4, 2019 - May 7, 2019
LIQUIDITY.IO, LLC
BD
CRD#: 289499
BOCA GRANDE, FL
Past
July 3, 2018 - May 7, 2019
GLOBAL CAPITAL STRATEGIES
RIA
CRD#: 290328
New York, NY
Past
January 25, 2018 - March 19, 2018
GLOBAL CAPITAL STRATEGIES
RIA
CRD#: 290328
New York, NY
Past
January 19, 2018 - December 31, 2018
CANTELLA & CO., INC.
BD
CRD#: 13905
New York, NY
Past
May 8, 2017 - January 23, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
NEW YORK, NY
Past
August 9, 2016 - January 23, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
NEW YORK, NY
Past
January 1, 2016 - August 3, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
new york, NY
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".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
