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SW

Shourya Wardhan

SETTER CAPITAL
Toronto, Ontario, M4W 3E2
Some features on this profile are disabled
CRD#: 7500286
SW

Professional summary

Shourya Wardhan is a registered financial professional currently at SETTER CAPITAL INC. .

Shourya is registered as a RR (Registered Representative) and started their career in finance in 2022. Shourya has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

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 Shourya Wardhan'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

March 16, 2023 - Present

SETTER CAPITAL INC.

Office #1: 2 Bloor Street West Suite 1700, Toronto, Ontario, M4W 3E2Office #2: 2 Bloor Street West Suite 1700, Toronto, On, M4W 3E2
BD
CRD#: 141652
Toronto, Ontario,
Past

March 16, 2022 - November 28, 2022

DEALMAKER SECURITIES

BD
CRD#: 315324
Toronto,

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
New York
(5/14/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/4/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/21/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/24/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SETTER CAPITAL INC.
SETTER CAPITAL INC.

CRD#: 141652 / SEC#: , 8-67403

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

Main Address
2 Bloor Street West Suite 1700, Toronto, Ontario, M4W 3E2
Mailing Address
2 Bloor Street West Suite 1700, Toronto, Ontario, M4W 3E2
Phone number
(416) 964-9555
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MCGRATH, PETER THOMASPRESIDENT5204547
MCGRATH, PETER THOMASCHIEF COMPLIANCE OFFICER5204547

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

SETTER CAPITAL INC.

CRD#: 141652Toronto, Ontario, M4W 3E2

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