Narinder K. Malhotra
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.
Narinder Kumar Malhotra, CFP®, who also goes by Narinder Kumar Malhorta, was a registered financial professional .
Narinder is a previously registered financial professional and started their career in finance in 1977. Narinder had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 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
July 27, 2007 - February 18, 2022
CANTELLA & CO., INC.
May 29, 2003 - January 7, 2005
CANTELLA & CO., INC.
August 18, 1995 - July 24, 2007
FINANCIAL MASTERS INC.
January 13, 1995 - February 18, 2022
CANTELLA & CO., INC.
February 9, 1993 - September 10, 1993
G.R. STUART & COMPANY, INC.
May 20, 1992 - February 26, 1993
FINANCIAL SECURITIES NETWORK,INC.
December 16, 1989 - July 9, 1990
LPL FINANCIAL LLC
April 14, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
May 20, 1981 - April 4, 1989
FINANCIAL CONSULTANTS, INC.
March 4, 1977 - December 2, 1979
NYLIFE SECURITIES LLC
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 1
Date: 2/26/1977
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
