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Detailed Report
AMRITA HOLDEN
AMRITA KAUR BEDI, KOOS BEDI, AMRITA BEDIKOOS, AMRITA KOOS
CRD#: 1813997
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2000200220042006200820102012IALPL FINANCIAL CORPORATION (CRD# 6413)2006 - 2010 (3 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2006 (4 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1999 - 2002 (3 years)
Disclosure(s)
View By:
1/10/2012
Regulatory
Final
3/7/2011
Customer Dispute
Award / Judgment
Previous Registration(s)
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 10/23/2006 - 03/26/2010 LPL FINANCIAL CORPORATION (CRD#:6413) LONG BEACH, CA
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 09/10/2002 - 10/30/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BREA, CA
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 07/09/1999 - 09/16/2002 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) LONG BEACH, CA
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.