Rohan R. Pradhan
Professional summary
Rohan Rajan Pradhan is a registered financial professional currently at WESTPAC CAPITAL MARKETS LLC located in New York, New York.
Rohan is registered as a RR (Registered Representative) and started their career in finance in 2019. Rohan has worked at 2 firms and has passed the Series 99TO, SIE and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rohan Rajan Pradhan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2023 - Present
WESTPAC CAPITAL MARKETS LLC
Office #1: 390 Park Avenue 14th Floor, New York, NY 10022February 11, 2019 - January 17, 2023
ANZ SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 2/11/2019
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
WESTPAC CAPITAL MARKETS LLC
CRD#: 164763 / SEC#: , 8-69113
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTPAC CAPITAL MARKETS HOLDING CORPORATION | MEMBER | |
| BROWN, STUART JOHN | BOARD MEMBER | 7382811 |
| GLYNN, MICHAEL GERARD | CHIEF FINANCIAL OFFICER | 3219445 |
| GORMAN, DENNIS | ELECTED MEMBER | 6089133 |
| LOGAN-POWELL, JACQUELINE KATE | ELECTED MEMBER | 7847135 |
| MASOR, JEFFREY LAWRENCE | AML OFFICER | 6500490 |
| PORTES, SUSAN LIFSEY | CHIEF COMPLIANCE OFFICER | 1925615 |
| VAN DER GRIEND, MARK | CEO, ELECTED MEMBER | 2319152 |
Red Flags
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