Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Saurabh? Claim Your ProfileSaurabh Srivastava is a financial professional with over nine years of experience in the financial services industry. Saurabh is currently registered with CTC, LLC in Chicago, Illinois. Saurabh has held previous positions at Jefferies LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Credit Suisse Securities (USA) LLC. Saurabh holds the Series 7, Series 57, Series 63 and SIE licenses.
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
IL
07/30/2021 - Present
CTC, LLC (CHICAGO IL)
IL
03/01/2017 - 07/12/2021
JEFFERIES LLC (CHICAGO IL)
NY
08/19/2015 - 11/16/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/16/2013 - 07/14/2015
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
BC
Issued 04/07/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/2017
Series 57 - Securities Trader Exam
BC
Issued 12/16/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
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