Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ritu? Claim Your ProfileRitu Baral is a financial professional with over 17 years of experience in the industry. Ritu is currently registered with TD Securities (USA) LLC in New York, NY. Previously, Ritu has held positions with Cowen and Company, Canaccord Genuity Inc. and JMP Securities LLC. Ritu holds Series 63, Series 7, Series 86, Series 87, and SIE licenses. Ritu is licensed in New York, Maryland, and the District of Columbia.
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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NY
03/06/2024 - Present
TD Securities (usa) LLC (New York NY)
DC
08/11/2014 - 04/08/2024
COWEN AND COMPANY (WASHINGTON DC)
NY
08/14/2007 - 08/15/2014
CANACCORD GENUITY INC. (NEW YORK NY)
NY
08/14/2006 - 08/08/2007
JMP SECURITIES LLC (NEW YORK NY)
BC
Issued 08/18/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2007
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/03/2007
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 08/11/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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