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ASHOK RAJAN
CRD#: 1619972
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 BASKING RIDGE, NJ
Registration History
199019952000200520102015202020252 FIRMS2006 - 2012 (6 years)2 FIRMS2016 - 2020 (3 years)2 FIRMS2020 - 2024 (4 years)2 FIRMS2024 - Present (<1 year)BPRUDENTIAL INVESTMENT MANAGEME... (CRD# 18353)2003 - 2005 (2 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2002 - 2003 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1993 - 2002 (8 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1987 - 1993 (6 years)IAAWM GLOBAL ADVISORS (CRD# 159094)2014 - 2016 (1 year)IAPRUDENTIAL INVESTMENTS LLC (CRD# 105670)2004 - 2005 (1 year)
License(s)

State Registrations

B
Alaska 11/14/2024

B
Michigan 11/14/2024

B
Arizona 11/14/2024

B
Minnesota 11/14/2024

B
California 11/14/2024

B
New Jersey 11/14/2024

B
Florida 11/18/2024

IA
New Jersey 11/14/2024

B
Iowa 11/14/2024

B
New York 11/14/2024

B
Louisiana 11/14/2024

B
Pennsylvania 11/14/2024

B
Maine 12/9/2024

B
Texas 11/14/2024

B
Maryland 11/14/2024

IA
Texas 11/14/2024

B
Massachusetts 11/14/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
BASKING RIDGE, NJ
Registered with this firm since 11/14/2024

B
LPL ENTERPRISE, LLC (CRD#:8733)
BASKING RIDGE, NJ
Registered with this firm since 11/14/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/30/2020 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Basking Ridge, NJ
B
01/27/2020 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) Basking Ridge, NJ
IA
02/17/2016 - 02/06/2020 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) BEDMINSTER, NJ
B
03/08/2016 - 02/06/2020 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) BEDMINSTER, NJ
IA
09/17/2014 - 02/16/2016 AWM GLOBAL ADVISORS (CRD#:159094) SAN DIEGO, CA
IA
06/09/2006 - 11/01/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JERSEY CITY, NJ
B
06/09/2006 - 11/01/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
IA
07/09/2004 - 10/10/2005 PRUDENTIAL INVESTMENTS LLC (CRD#:105670) NEWARK, NJ
B
07/07/2003 - 10/10/2005 PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (CRD#:18353) NEWARK, NJ
B
02/22/2002 - 03/24/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
08/16/1993 - 02/04/2002 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
02/26/1987 - 09/28/1993 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.