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RK

Romi S. Kadri

CAPELLA SECURITIES LLC
SANTA BARBARA, CA 93101
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 Santa Barbara, California.

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Romi Sinclair Kadri's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 15, 2019 - Present

CAPELLA SECURITIES LLC

Office #1: 1117 State Street, Santa Barbara, CA 93101
BD
CRD#: 174167
SANTA BARBARA, CA

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: 12/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2018
General Securities Representative Examination
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)
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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 (7 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPELLA PARTNERS, LLCOWNER
KADRI, ROMI SINCLAIRCEO6633593
SADZEWICZ, GERY JOSEPHCHIEF COMPLIANCE OFFICER1090963
SAMSON, EDWARD GREGORYFINOP2041321

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

CAPELLA SECURITIES LLC

CRD#: 174167Santa Barbara, CA 93101

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