Rahul Sarin

RISA WEALTH

EASTCHESTER, NY

CRD#: 7301567

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Professional summary

Rahul Sarin is a registered financial advisor currently at RISA WEALTH LLC located in Eastchester, New York and STONEHAVEN, LLC located in New York, New York.

Rahul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Rahul has worked at 4 firms and has passed the Series 65, Series 63, Series 82TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Rahul Sarin'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

May 26, 2026 - Present

RISA WEALTH LLC

RIA

CRD#: 342331

EASTCHESTER, NY

Current

September 11, 2024 - Present

STONEHAVEN, LLC

Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020

CRD#: 118913

NEW YORK, NY

Past

June 9, 2023 - August 21, 2024

SP ASSET MANAGEMENT LLC

RIA

CRD#: 323369

Eastchester, NY

Past

April 29, 2021 - April 11, 2023

AVENDUS CAPITAL, INC.

CRD#: 150160

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(9/17/2024)

California
(9/12/2024)

Colorado
(9/12/2024)

Connecticut
(9/11/2024)

Delaware
(9/24/2024)

District of Columbia
(9/18/2024)

Florida
(9/11/2024)

Georgia
(9/12/2024)

Maryland
(9/17/2024)

Massachusetts
(9/12/2024)

New Jersey
(9/12/2024)

New York
(9/12/2024)

Pennsylvania
(9/12/2024)

Texas
(9/12/2024)

IAR

Texas
(5/26/2026)

Virginia
(9/16/2024)

Washington
(11/7/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/9/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 4/29/2021

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 1/15/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

RISA WEALTH LLC

CRD#: 342331 / SEC#:

Texas

Registered Investment Advisory firm - (6/9/2026 Termination Requested)

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Contact information

Main Address

Eastchester, NY

Mailing Address

Phone number

(917) 833-3322

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Rahul Sarin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rahul Sarin's CRS (Customer Relationship Summary).

Certified licenses

Experience

RISA WEALTH LLC

STONEHAVEN, LLC

SP ASSET MANAGEMENT LLC

AVENDUS CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2023

Series 63

Date: 6/18/2021

Series 82TO

Date: 4/29/2021

SIE

Date: 1/15/2021

FINRA

Current Firm

RISA WEALTH LLC

Contact information

Documents

Red Flags

Company Information

RISA WEALTH LLC

TRUST BUT VERIFY

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