Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rishi? Claim Your ProfileRishi Nangalia is a financial advisor with over 20 years of experience in the financial services industry. Rishi is currently registered with Finalis Securities LLC in New York, NY. Previously, Rishi held positions at REDI GLOBAL TECHNOLOGIES LLC, Goldman Sachs Execution & Clearing, L.P., U.S. Securities & Futures Corp., and CIBC Oppenheimer Corp. Rishi has a strong track record of providing financial advice to clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
05/21/2021 - Present
Finalis Securities LLC (New York NY)
NY
12/13/2011 - 10/11/2019
REDI GLOBAL TECHNOLOGIES LLC (New York NY)
NY
05/14/2001 - 07/16/2013
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)
NY
01/31/2001 - 04/24/2001
U.S. SECURITIES & FUTURES CORP. (NEW YORK NY)
NY
10/20/1998 - 03/03/1999
CIBC OPPENHEIMER CORP. (NEW YORK NY)
BC
Issued 06/14/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/15/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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