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SK

Saaj S. Kothari

METLIFE INVESTMENTS SECURITIES
Philadelphia, PA 16103
Some features on this profile are disabled
CRD#: 7138792
SK
Saaj Samin KothariMETLIFE INVESTMENTS SECURITIES

Professional summary

Saaj Samin Kothari, who also goes by Saaj Kothari, is a registered financial professional currently at METLIFE INVESTMENTS SECURITIES, LLC located in Philadelphia, Pennsylvania.

Saaj is registered as a RR (Registered Representative) and started their career in finance in 2024. Saaj has worked at 2 firms and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.

Aliases

Saaj Kothari

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 Saaj Samin Kothari's CRS (Customer Relationship Summary).
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

July 14, 2026 - Present

METLIFE INVESTMENTS SECURITIES, LLC

Office #1: 1717 Arch Street Suite 1500, Philadelphia, PA 16103
BD
CRD#: 285684
Philadelphia, PA
Past

October 2, 2024 - April 1, 2026

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
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
Pennsylvania
(7/14/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 11/6/2024
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/2/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/18/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MI
METLIFE INVESTMENTS SECURITIES, LLC
METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684 / SEC#: , 8-69857

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

Main Address
One Metlife Way, Whippany, NJ 07981-1449
Mailing Address
One Metlife Way, Whippany, NJ 07981-1449
Phone number
(973) 355-4000
Established
Delaware since 08/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
METLIFE INVESTORS GROUP, LLCSOLE MEMBER
HICKMAN, FRANK IIICHIEF COMPLIANCE OFFICER5056648
POLLARO, JOSEPH PATRICKPRESIDENT/CEO1910072
SERAFIN, ROBERT HPRINCIPAL OPERATIONS OFFICER2427123
YICK, MICHAEL JOHNCFO/FINOP & PRINCIPAL FINANCIAL OFFICER4187342

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

METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684Philadelphia, PA 16103

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