Kalvin L. Charania
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.
Kalvin Lee Charania Sr, who also goes by Kalvin L Charania Sr, Kalvin Lee Charania, was a registered financial professional .
Kalvin is a previously registered financial professional and started their career in finance in 2019. Kalvin had worked at 3 firms and has passed the Series 66, 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
September 8, 2020 - August 20, 2021
EAGLE STRATEGIES LLC
July 2, 2020 - August 20, 2021
NYLIFE SECURITIES LLC
July 24, 2019 - September 23, 2019
EDWARD JONES
April 20, 2019 - September 23, 2019
EDWARD JONES
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 4/20/2019
General Securities Representative ExaminationCurrent Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
