Valli K. Doraiswami
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.
Valli Karthikeswari Doraiswami, who also goes by Valli Doraiswami, was a registered financial professional .
Valli is a previously registered financial professional and started their career in finance in 2016. Valli had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2019 - March 31, 2025
WEALTHEON ADVISORS LLC
February 9, 2016 - March 28, 2019
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
WEALTHEON ADVISORS LLC
CRD#: 301663 / SEC#: 801-116724
Contact information
Regulatory assets under management
| Total Number of Accounts | 135 |
| AUM (Assets Under Management) | $ 70,154,628 |
Red Flags
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