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Roshan Puniya

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CRD#: 7553687
RP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Roshan Puniya was a registered financial professional .

Roshan is a previously registered financial professional and started their career in finance in 2023. Roshan had worked at 1 firm and has passed the Series 79TO 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 18, 2023 - February 7, 2025

MOELIS & COMPANY LLC

BD
CRD#: 145115
SAN FRANCISCO, 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

General Industry/Product Exam
RR
Series 79TO
Date: 7/17/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/30/2023
Securities Industry Essentials Examination

Current Firm

M&
MOELIS & COMPANY LLC
MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY

CRD#: 145115 / SEC#: , 8-67705

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

Main Address
399 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
399 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 883-3800
Established
Delaware since 06/12/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 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#
MOELIS & COMPANY GROUP LPPARENT COMPANY
CALLESANO, CHRIS PETERCFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER4889259
MAHMOODZADEGAN, NAVID ALICHIEF EXECUTIVE OFFICER2609804
MOELIS, KENNETH DAVIDEXECUTIVE CHAIRMAN1015047
PILCHER CIAFONE, KATHERINE CELYCHIEF OPERATING OFFICER4573006
RAICH, JEFFREY ALANEXECUTIVE VICE CHAIRMAN2016620
WATANABE, OSAMU RICHARDCHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER2875185

Disclosures

Regulatory Event1

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

MOELIS & COMPANY LLC

CRD#: 145115

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