RV
Rohan Vaswani
NATIONAL FINANCIAL SERVICES LLC
New York City, NY 10019
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CRD#: 6695318
RV
Professional summary
Rohan Vaswani, who also goes by Rohan V Vaswani, Rohan VIjay Vaswani, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in New York City, New York and FIDELITY PRIME FINANCING located in New York City, New York.
Rohan is registered as a RR (Registered Representative) and started their career in finance in 2016. Rohan has worked at 2 firms and has passed the Series 63, SIE, Series 57, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rohan V Vaswani | Rohan Vijay Vaswani
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 Rohan Vaswani'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
August 24, 2016 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 640 Fifth Avenue, New York City, NY 10019BD
CRD#: 13041
New York City, NY
Current
November 13, 2020 - Present
FIDELITY PRIME FINANCING
Office #1: 640 Fifth Avenue, New York City, NY 10019BD
CRD#: 299736
New York City, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/1/2016)
RR
Alaska(10/1/2016)
RR
Arizona(10/1/2016)
RR
Arkansas(10/1/2016)
RR
California(10/1/2016)
RR
Colorado(9/15/2016)
RR
Connecticut(10/1/2016)
RR
Delaware(10/1/2016)
RR
District of Columbia(9/15/2016)
RR
Florida(9/15/2016)
RR
Georgia(10/1/2016)
RR
Hawaii(10/1/2016)
RR
Idaho(10/1/2016)
RR
Illinois(10/1/2016)
RR
Indiana(10/1/2016)
RR
Iowa(10/1/2016)
RR
Kansas(10/1/2016)
RR
Kentucky(10/1/2016)
RR
Louisiana(9/15/2016)
RR
Maine(10/1/2016)
RR
Maryland(9/15/2016)
RR
Massachusetts(10/1/2016)
RR
Michigan(10/1/2016)
RR
Minnesota(10/1/2016)
RR
Mississippi(10/1/2016)
RR
Missouri(10/1/2016)
RR
Montana(10/1/2016)
RR
Nebraska(10/1/2016)
RR
Nevada(10/1/2016)
RR
New Hampshire(10/1/2016)
RR
New Jersey(10/1/2016)
RR
New Mexico(10/1/2016)
RR
New York(10/1/2016)
RR
North Carolina(10/3/2016)
RR
North Dakota(10/1/2016)
RR
Ohio(9/16/2016)
RR
Oklahoma(10/1/2016)
RR
Oregon(10/1/2016)
RR
Pennsylvania(10/1/2016)
RR
Puerto Rico(9/15/2016)
RR
Rhode Island(10/1/2016)
RR
South Carolina(10/1/2016)
RR
South Dakota(10/1/2016)
RR
Tennessee(10/1/2016)
RR
Texas(10/1/2016)
RR
Utah(10/1/2016)
RR
Vermont(10/1/2016)
RR
Virgin Islands(10/1/2016)
RR
Virginia(10/1/2016)
RR
Washington(10/1/2016)
RR
West Virginia(10/1/2016)
RR
Wisconsin(10/1/2016)
RR
Wyoming(10/1/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
FP
FIDELITY PRIME FINANCING
FIDELITY PRIME FINANCING | FIDELITY PRIME FINANCING, LLC
CRD#: 299736 / SEC#: , 8-70261
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
155 Seaport Boulevard, Boston, MA 02210
Mailing Address
245 Summer Street Mail Zone: V1b, Boston, MA 02210
Phone number
(617) 563-0844
Established
Delaware since 10/02/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | OWNER | |
| CREEDON, ADAM | CHIEF COMPLIANCE OFFICER | 5417517 |
| HUNT, JON PETER | DIRECTOR | 2270130 |
| MARCHUK, ANTON V | ELECTED MANAGER | 4002432 |
| REMMES, GREGORY JOHN | PRINCIPAL OPERATIONS OFFICER, ELECTED MANAGER | 2169049 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| RICHARD, STEPHEN ROBERT | PRESIDENT; ELECTED MANAGER | 3113456 |
| RYAN, KRISTA | C.L.O.; SECRETARY | |
| TESAURO, THOMAS JOHN | C.E.O., ELECTED MANAGER | 1862532 |
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.
