Dheeraj Bhat
Professional summary
Dheeraj Bhat is a registered financial professional currently at FLOURISH FINANCIAL LLC located in New York, New York.
Dheeraj is registered as a RR (Registered Representative) and started their career in finance in 2019. Dheeraj has worked at 3 firms and has passed the Series 63, Series 99TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dheeraj Bhat's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 7, 2026 - Present
FLOURISH FINANCIAL LLC
Office #1: 2 Park Avenue 11th Floor, New York, NY 10016December 14, 2023 - June 4, 2024
ICAPITAL MARKETS LLC
March 12, 2019 - December 1, 2023
SIMON MARKETS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/7/2026)
(4/7/2026)
Exams
Series 99TO
Date: 4/7/2026
Operations Professional ExaminationSeries 7TO
Date: 3/12/2019
General Securities Representative ExaminationFINRA
Current Firm
FLOURISH FINANCIAL LLC
CRD#: 293019 / SEC#: , 8-70093
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLOURISH HOLDING COMPANY LLC | SOLE MEMBER | |
| CRUIKSHANK, BENJAMIN EVERETT | PRESIDENT | 5682701 |
| LANE, MAXWELL KEITH | CHIEF EXECUTIVE OFFICER | 6111790 |
| MURRAY, KATE | CHIEF COMPLIANCE OFFICER, COUNSEL, SECRETARY | 4958654 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 4364402 |
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.
