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Saurab Guha

Some features on this profile are disabled
CRD#: 6704071
SG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Saurab Guha was a registered financial professional .

Saurab is a previously registered financial professional and started their career in finance in 2016. Saurab had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 79 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 30, 2018 - August 9, 2021

LAZARD MIDDLE MARKET LLC

BD
CRD#: 146092
CHICAGO, IL
Past

September 27, 2016 - July 13, 2018

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

BD
CRD#: 41461
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

State Security Law Exam
RR
Series 63
Date: 9/1/2016
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 7
Date: 10/12/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 9/27/2016
Investment Banking Registered Representative Examination

Current Firm

LM
LAZARD MIDDLE MARKET LLC
LAZARD MIDDLE MARKET LLC

CRD#: 146092 / SEC#: , 8-67786

BD
Terminated by SEC on 03/15/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/20/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GOLDSMITH, AGIO, HELMS & LYNNER, LLCSOLE MEMBER
BERNHARD, JASON RUGGLESDIRECTOR1883841
COZINE, RICHARD KIRKLANDCHIEF COMPLIANCE OFFICER5475611
FROST, ROBERT DAVIDCEO & DIRECTOR3275198
PECHA, KYLE ALLENCHIEF FINANCIAL OFFICER4644775
TORGOVE, ANDREW JAYCHIEF OPERATING OFFICER1134143

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

LAZARD MIDDLE MARKET LLC

CRD#: 146092

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