NB
Neel Bhat
FTP SECURITIES LLC
New York, NY 10016
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CRD#: 7579166
NB
Professional summary
Neel Bhat is a registered financial professional currently at FTP SECURITIES LLC located in New York, New York.
Neel is registered as a RR (Registered Representative) and started their career in finance in 2023. Neel has worked at 1 firm and has passed the Series 63, Series 79TO and SIE 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 Neel Bhat'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
August 14, 2023 - Present
FTP SECURITIES LLC
Office #1: 90 Park Ave 16th Floor, New York, NY 10016BD
CRD#: 129356
New York, NY
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(8/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 8/12/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FTP SECURITIES LLC
FTP SECURITIES LLC
CRD#: 129356 / SEC#: , 8-66218
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
100 California Street 7th Floor, San Francisco, CA 94111
Mailing Address
100 California Street 7th Floor, San Francisco, CA 94111
Phone number
(415) 512-8700
Established
Delaware since 06/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
