Rajendra R. Rao
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.
Rajendra R Rao, who also goes by Rejendra R Rao, was a registered financial professional .
Rajendra is a previously registered financial professional and started their career in finance in 1976. Rajendra had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 5, PC, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2010 - December 17, 2014
BROOKVILLE CAPITAL PARTNERS
March 3, 2003 - October 21, 2010
WALLSTREET*E FINANCIAL SERVICES, INC.
June 10, 1994 - March 28, 2003
A. G. EDWARDS & SONS, INC.
May 17, 1991 - June 6, 1994
EDWARD JONES
November 13, 1989 - May 2, 1991
UBS FINANCIAL SERVICES INC.
August 28, 1984 - December 5, 1989
LEHMAN BROTHERS INC.
September 26, 1978 - September 12, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 8
Date: 6/4/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BROOKVILLE CAPITAL PARTNERS
CRD#: 102380 / SEC#: , 8-52119
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTERBURY SECURITIES HOLDINGS INC. | SOLE MEMBER | |
| IEZZONI, GABRIEL ANTHONY | CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1243767 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 5 |
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.
