Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rohit? Claim Your ProfileRohit Thapliyal is a securities professional with over 13 years of experience in the industry. Currently registered with Academy Securities, Inc. Rohit has a proven track record of success in the financial services industry, having held prior roles with R. Seelaus & Co., LLC and Citigroup Global Markets Inc. Rohit's areas of expertise include investment banking, securities trading, and futures. Rohit holds several industry licenses and certifications, including the Series 3, Series 7, Series 79, and Series 63 exams.
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
10/23/2023 - Present
Academy Securities, Inc. (NEW YORK NY)
NJ
07/14/2023 - 10/16/2023
R. SEELAUS & CO., LLC (Chatham NJ)
NY
09/22/2009 - 06/20/2023
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 09/28/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2018
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 10/12/2016
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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