RK
Romi S. Kadri
CAPELLA SECURITIES LLC
New York, NY 10004
Some features on this profile are disabled
CRD#: 6633593
RK
Professional summary
Romi Sinclair Kadri is a registered financial professional currently at CAPELLA SECURITIES LLC located in New York, New York.
Romi is registered as a RR (Registered Representative) and started their career in finance in 2019. Romi has worked at 1 firm and has passed the SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Romi Sinclair Kadri's CRS (Customer Relationship Summary).
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
Current
January 15, 2019 - Present
CAPELLA SECURITIES LLC
Office #1: 42 Broadway, Suite 12-129, New York, NY 10004BD
CRD#: 174167
New York, NY
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
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAPELLA SECURITIES LLC
CAPELLA SECURITIES LLC | CLYDESDALE SECURITIES LLC
CRD#: 174167 / SEC#: , 8-69567
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1117 State Street, Santa Barbara, CA 93101
Mailing Address
1117 State Street, Santa Barbara, CA 93101
Phone number
(617) 817-7618
Established
New York since 10/31/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (8 States and Territories)
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.
