Neelesh Krishna Karody
Professional Summary
Neelesh Krishna Karody, who also goes by Neel Karody, was a registered financial advisor. Neelesh was a previously registered financial professional and started their career in finance 2019 - 2020. Neelesh had worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Neel Karody
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
7 years in the financial services industry
Current & Past Employments
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Current Firm
CASCADIA CAPITAL SECURITIES INC. | CASCADIA CAPITAL, LLC | CASCADIA CAPITAL SECURITIES, LLC
Contact Information
Main Address
920 5th Avenue Suite 1500, Seattle, WA 98104Mailing Address
920 5th Avenue Suite 1500, Seattle, WA 98104Phone Number
(206) 436-2500Established
Washington since 12/04/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Aug 2019About the Series 79TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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