DN
Drishti Neema
PICTET OVERSEAS
Montreal, Qc, H3B 4W5
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CRD#: 7329615
DN
Professional summary
Drishti Neema is a registered financial professional currently at PICTET OVERSEAS INC. .
Drishti is registered as a RR (Registered Representative) and started their career in finance in 2021. Drishti has worked at 1 firm and has passed the Series 99TO, SIE and Series 27 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Drishti Neema'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®
NoneExperience
Current
March 19, 2021 - Present
PICTET OVERSEAS INC.
Office #1: 1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B 4W5Office #2: 1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B4W5BD
CRD#: 36500
Montreal, Qc,
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
General Industry/Product Exam
RR
Series 99TO
Date: 3/18/2021
Operations Professional ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
PO
PICTET OVERSEAS INC.
PICTET OVERSEAS INC.
CRD#: 36500 / SEC#: , 8-47285
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B 4W5
Mailing Address
1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B 4W5
Phone number
(514) 288-8161
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOPAFIN SA | DIRECT OWNER | |
| BAHADOOR, NITISH RAJ NMN | PRINCIPAL OPERATIONS OFFICER | 7779149 |
| GIRARD, CELINE | CHIEF COMPLIANCE OFFICER | 6324683 |
| HAMID, ERIC JEAN-PAUL | CHIEF EXECUTIVE OFFICER (AMERICAS) & DIRECTOR | 5301753 |
| LA SALA, GASPARE NMN | DIRECTOR | 7275103 |
| PETIT, GRÉGORY ANDRÉ ROGER | DIRECTOR | 7275081 |
| RUST, LAURENT MARC | CHIEF FINANCIAL OFFICER, CHIEF OF STAFF, PRINCIPAL FINANCIAL OFFICER, CORPORATE SECRETARY, FIN-OP | 7854583 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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