Ekta M. Punjabi
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.
Ekta M Punjabi, who also goes by Ekta Punjabi, was a registered financial professional .
Ekta is a previously registered financial professional and started their career in finance in 2021. Ekta had worked at 2 firms and has passed the Series 99TO 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
August 30, 2023 - October 24, 2023
PROFUNDS DISTRIBUTORS, INC.
October 13, 2021 - July 21, 2023
SPIRE SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 99TO
Date: 10/12/2021
Operations Professional ExaminationCurrent Firm
PROFUNDS DISTRIBUTORS, INC.
CRD#: 19541 / SEC#: , 8-37601
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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