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SS

Sudharsan Sriram

STONEPEAK SECURITIES LLC
London, W1F 9JG
Some features on this profile are disabled
CRD#: 6961542
SS

Professional summary

Sudharsan Sriram, who also goes by Suddy Sriram, is a registered financial professional currently at STONEPEAK SECURITIES LLC .

Sudharsan is registered as a RR (Registered Representative) and started their career in finance in 2018. Sudharsan has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Suddy Sriram

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 Sudharsan Sriram'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®
None

Experience

Current

June 22, 2022 - Present

STONEPEAK SECURITIES LLC

Office #1: 1f 15 Golden Square, London, W1F 9JG
BD
CRD#: 316392
London,
Past

May 10, 2019 - September 2, 2021

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

August 10, 2018 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, 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
New York
(7/6/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/25/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/10/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STONEPEAK SECURITIES LLC
STONEPEAK SECURITIES LLC

CRD#: 316392 / SEC#: , 8-70803

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
550 W. 34th St 48th Floor, New York, NY 10001
Mailing Address
550 W. 34th St 48th Floor, New York, NY 10001
Phone number
(212) 907-5100
Established
Delaware since 08/13/2021
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#
STONEPEAK PARTNERS II LLCGENERAL PARTNER
FORTINO, ANGELINAFINANCIAL AND OPERATIONS PRINCIPAL6869135
MLYNAR, STEVEN BRETTCHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, PRINCIPAL5200474
WALLACH, DOUGLASCEO, SUPERVISORY PRINCIPAL, EXECUTIVE REPRESENTATIVE6649513

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

STONEPEAK SECURITIES LLC

CRD#: 316392London, W1F 9JG

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