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PJ

Pooja Joshi

Some features on this profile are disabled
CRD#: 6585551
PJ

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.

Pooja Joshi was a registered financial professional .

Pooja is a previously registered financial professional and started their career in finance in 2016. Pooja had worked at 2 firms and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 19, 2016 - August 1, 2017

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA
Past

February 26, 2016 - October 19, 2016

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA

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

General Industry/Product Exam
RR
SIE
Date: 8/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/26/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/3/2016
General Securities Principal Examination

Current Firm

SE
SAL EQUITY TRADING, GP
BODEL, INC. | SUSQUEHANNA CAPITAL GROUP | SAL EQUITY TRADING, GP

CRD#: 29337 / SEC#: , 8-43174

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
401 City Avenue Suite 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Avenue Suite 220, Bala Cynwyd, PA 19004-1122
Phone number
(610) 617-3000
Established
Delaware since 01/02/1995
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SAL EQUITY HOLDING, LLCGENRAL PARTNER
DANIELS, ETHAN SCOTTPOO5902179
GOLDBERG, ALAN BARRYCHIEF EXECUTIVE OFFICER2340315
JAMACA, MELISSAFINOP7478107
RORKE, BRIAN WALLACECHIEF COMPLIANCE OFFICER4475071
SAL EQUITY PARTNER, LLCGENRAL PARTNER

Disclosures

Regulatory Event16

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.

Company Information

SAL EQUITY TRADING, GP

CRD#: 29337

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