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Rachna Shah

SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
Los Angeles, CA 90025
Some features on this profile are disabled
CRD#: 7297721
RS

Professional summary

Rachna Shah is a registered financial professional currently at SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC located in Los Angeles, California.

Rachna is registered as a RR (Registered Representative) and started their career in finance in 2020. Rachna has worked at 2 firms and has passed the Series 14 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Rachna Shah's 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

February 1, 2023 - Present

SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC

Office #1: 11100 Santa Monica Boulevard Suite 2000, Los Angeles, CA 90025
BD
CRD#: 170062
Los Angeles, CA
Past

December 15, 2020 - December 13, 2022

CBRE CAPITAL ADVISORS, INC.

BD
CRD#: 140565
Los Angeles, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 14
Date: 12/15/2020
Compliance Officer Examination
SRO Registrations
RR
FINRA

Current Firm

SL
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
BKUS CAPITAL LLC | SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC | REALFUND CAPITAL LLC | EDGEMOOR PARTNERS LLC

CRD#: 170062 / SEC#: , 8-69407

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

Main Address
96 Worcester Street, Wellesley Hills, MA 02481
Mailing Address
96 Worcester Street, Wellesley Hills, MA 02481
Phone number
(774) 217-3429
Established
Delaware since 10/11/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SLC ASSET MANAGEMENT LLCMANAGING MEMBER
DREPAUL, ROSHNI ARUNAFINOP, PFO,POO6487453
LOUSARARIAN, BRETT JULIUSPRESIDENT5464727
MAGROSKY, EMILY CATHERINECHIEF COMPLIANCE OFFICER7945134

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

SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC

CRD#: 170062Los Angeles, CA 90025

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