Tathagat Saxena
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.
Tathagat Saxena, who also goes by Tat Saxena, was a registered financial professional .
Tathagat is a previously registered financial professional and started their career in finance in 2023. Tathagat had worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2023 - September 5, 2025
WHITEHALL CAPITAL MARKETS LLC
April 1, 2023 - September 19, 2023
CRC-IB
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/8/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/31/2023
Investment Banking Registered Representative ExaminationCurrent Firm
WHITEHALL CAPITAL MARKETS LLC
CRD#: 158885 / SEC#: , 8-68936
Contact information
FINRA licenses (34 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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