Karan Mehta
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.
Karan Mehta was a registered financial professional .
Karan is a previously registered financial professional and started their career in finance in 2019. Karan had worked at 2 firms and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2019 - May 17, 2023
PINEBRIDGE SECURITIES LLC
April 26, 2019 - July 31, 2019
DWS DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 4/26/2019
General Securities Representative ExaminationCurrent Firm
PINEBRIDGE SECURITIES LLC
CRD#: 5967 / SEC#: , 8-16586
Contact information
FINRA licenses (52 States and Territories)
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.
