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Prabhu Raman

ACCORD CAPITAL PARTNERS LLC
San Francisco, CA 94108-5324
Some features on this profile are disabled
CRD#: 6696742
PR

Professional summary

Prabhu Raman is a registered financial professional currently at ACCORD CAPITAL PARTNERS LLC located in San Francisco, California.

Prabhu is registered as a RR (Registered Representative) and started their career in finance in 2017. Prabhu has worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 24 exams.

top-8-questions

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 Prabhu Raman'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

June 17, 2024 - Present

ACCORD CAPITAL PARTNERS LLC

Office #1: 240 Stockton Street 7th Floor, San Francisco, CA 94108-5324
BD
CRD#: 166498
San Francisco, CA
Past

February 1, 2017 - January 27, 2023

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
SAN FRANCISCO, CA

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
California
(6/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/18/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/1/2017
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/29/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ACCORD CAPITAL PARTNERS LLC
ACCORD CAPITAL PARTNERS LLC

CRD#: 166498 / SEC#: , 8-69217

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
240 Stockton Street 7th Floor, San Francisco, CA 94108-5324
Mailing Address
240 Stockton Street 7th Floor, San Francisco, CA 94108-5324
Phone number
(628) 218-7984
Established
Delaware since 10/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 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#
ACCORD GROUP HOLDINGS LLCMANAGER/MEMBER
CO, DESIDERIO G. JR.CEO/FINOP/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER2969057
PETERSON, PATRICIA FAIGAOCHIEF OPERATING OFFICER2681478
RAMAN, PRABHUCHIEF COMPLIANCE OFFICER6696742

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

ACCORD CAPITAL PARTNERS LLC

CRD#: 166498San Francisco, CA 94108-5324

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