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Shivaji Rao

Newoak Capital Markets LLC

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About Shivaji Rao

Shivaji Rao is a financial advisor with over 10 years of experience in the financial services industry. Shivaji is currently registered with Newoak Capital Markets LLC. Previously, Shivaji worked at John W. Loofbourrow Associates, Inc., MARV Capital Inc., MF Global Inc., Wells Fargo Securities, LLC, Gar Wood Securities, LLC, TJM Investments, LLC, BGC Financial, L.P., FIMAT USA, LLC and Credit Suisse First Boston Corporation. Shivaji has passed the Series 3, Series 7 and SIE exams.

Firm Information

Shivaji Rao is currently registered with Newoak Capital Markets LLC. Newoak Capital Markets LLC is a Limited Liability Company formed on December 30, 1999. The firm is registered in nine states: California, Connecticut, Florida, Illinois, Massachusetts, New Jersey, New York, Pennsylvania, and Texas. It also has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

4

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Shivaji Rao’s Registration & Firm History

NY

01/22/2020 - Present

Newoak Capital Markets LLC (NEW YORK NY)

NY

10/20/2015 - 08/12/2016

JOHN W. LOOFBOURROW ASSOCIATES, INC. (HARLEM NY)

NY

08/09/2013 - 10/28/2013

MARV CAPITAL INC. (NEW YORK NY)

NY

11/20/2009 - 12/05/2011

MF GLOBAL INC. (NEW YORK NY)

NY

07/28/2009 - 11/30/2009

WELLS FARGO SECURITIES, LLC (NEW YORK NY)

NY

12/01/2008 - 08/04/2009

GAR WOOD SECURITIES, LLC (NEW YORK NY)

IL

06/20/2008 - 09/10/2008

TJM INVESTMENTS, LLC (CHICAGO IL)

NY

03/13/2006 - 04/16/2008

BGC FINANCIAL, L.P. (NEW YORK NY)

IL

01/04/2002 - 03/01/2006

FIMAT USA, LLC (CHICAGO IL)

NY

06/04/1997 - 09/29/1997

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/26/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/18/2018

Series 3 - National Commodity Futures Examination

BC

Issued 08/12/2016

SIE - Securities Industry Essentials Examination

BC

Issued 06/02/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shivaji Rao.
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