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RADIKA D MANGAR
RADIKA SINGH PETERS, RADIKA D SINGH, RADIKA DEVI SINGH
CRD#: 2098089
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 712 SOUTH EAST OCEAN BLVD.
GROUND FLOOR
STUART, FL 34994
GROUND FLOOR
STUART, FL 34994
0
Disclosures
32
Years of Experience
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State Registrations
B
Arizona 4/8/2013
B
New Jersey 4/8/2013
B
California 4/8/2013
B
New York 3/6/2012
B
Florida 4/30/2009
B
North Carolina 4/8/2013
IA
Florida 5/11/2009
B
Pennsylvania 4/8/2013
B
Maryland 4/8/2013
B
Virginia 4/8/2013
B
Massachusetts 4/8/2013
B
Washington 12/13/2022
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 5/11/2009
B
Registered with this firm since 4/30/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/06/1998 - 05/21/2009 | STUART, FL | |
B | 05/13/1998 - 05/21/2009 | STUART, FL | |
B | 02/12/1997 - 02/13/1998 | PURCHASE, NY | |
B | 09/18/1991 - 01/06/1996 | SPRINGFIELD, MA | |
B | 09/18/1991 - 01/06/1996 | NEW YORK, NY |
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.