Raj Kumar Thota
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.
Raj Kumar Thota was a registered financial professional .
Raj Kumar is a previously registered financial professional and started their career in finance in 2024. Raj Kumar had worked at 1 firm and has passed the Series 63, Series 82TO 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
February 10, 2025 - July 25, 2025
FINALIS SECURITIES LLC
October 14, 2024 - December 20, 2024
FINALIS SECURITIES LLC
State Registrations and Notice Filings
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Exams
Series 82TO
Date: 10/14/2024
Limited Representative-Private Securities OfferingsCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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