Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sudeep? Claim Your ProfileSudeep Pal is a registered representative with Scotia Capital (usa) Inc., a broker-dealer with a BC scope. Sudeep has been in the industry since April 28, 2010, and has been with Scotia Capital (usa) Inc. since October 12, 2022. Sudeep holds the Series 7, Series 63, SIE, and Series 79TO licenses. Sudeep has a presence in New York, NY and is registered in 52 states.
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.
1
2
NY
10/12/2022 - Present
Scotia Capital (usa) Inc. (NEW YORK NY)
NY
04/29/2010 - 10/21/2022
HSBC SECURITIES (USA) INC. (NEW YORK NY)
BC
Issued 11/23/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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