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RS

Raghav Shankar

COMMERZ MARKETS LLC
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 7640206
RS

Professional summary

Raghav Shankar is a registered financial professional currently at COMMERZ MARKETS LLC located in New York, New York.

Raghav is registered as a RR (Registered Representative) and started their career in finance in 2022. Raghav has worked at 2 firms and has passed the Series 63, 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) - BD

Click below to view Raghav Shankar'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®
None

Experience

Current

April 3, 2024 - Present

COMMERZ MARKETS LLC

Office #1: 225 Liberty Street, New York, NY 10281
BD
CRD#: 41957
NEW YORK, NY
Past

November 14, 2022 - March 15, 2024

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
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
(4/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/14/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/27/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CM
COMMERZ MARKETS LLC
COMMERZ MARKETS LLC | DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC | DRESDNER KLEINWORT SECURITIES LLC | DRESDNER KLEINWORT BENSON NORTH AMERICA LLC | COMMERZBANK

CRD#: 41957 / SEC#: , 8-49647

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

Main Address
225 Liberty Street, New York, NY 10281
Mailing Address
225 Liberty Street, New York, NY 10281
Phone number
(212) 266-7200
Established
Delaware since 05/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
COMMERZBANK AGSHAREHOLDER
BARBELLA, JOSEPHCHIEF COMPLIANCE OFFICER5058379
DEFREN, JOHN CHARLESCHIEF LEGAL OFFICER5917742
GEREMIA, JOHN MICHAELPRESIDENT/MEMBER BOARD OF MANAGERS1794769
HOLSTEN, ANDREAS FRITZ BRUNOMEMBER BOARD OF MANAGERS
HUBLEY, YOKOCFO/FINOP4297053
LI, SU-CHANGPRINCIPAL OPERATIONS OFFICER/FINOP4990155
LLOYD, KEITH ROSWELLMEMBER BOARD OF MANAGERS2836268
ROYAN, LEE-ANNCHIEF OPERATING OFFICER4860551
SOENNECKEN SCHMIDT, SILKEMEMBER BOARD OF MANAGERS
TONER, JOSEPH GREGORYTREASURER4910635

Disclosures

Regulatory Event9

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

COMMERZ MARKETS LLC

CRD#: 41957New York, NY 10281

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