Individual Firm
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RAKESH NMI BHARTI
RAKESH BHARTI
CRD#: 4853816
IA
B
SPCCRD#: 110692 Bonita Springs, FL
SIGMA FINANCIAL CORPORATIONCRD#: 14303 Bonita Springs, FL
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9/10/2010
Employment Separation After Allegations
State Registrations
B
Connecticut 4/12/2019
IA
Florida 8/10/2021
B
Florida 7/23/2021
IA
Texas 4/12/2019
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
Registered with this firm since 4/12/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/20/2010 - 04/16/2019 | FARMINGTON HILLS, MI | |
B | 09/20/2010 - 04/16/2019 | FARMINGTON HILLS, MI | |
IA | 06/01/2009 - 10/08/2010 | LIVONIA, MI | |
B | 06/01/2009 - 10/08/2010 | LIVONIA, MI | |
IA | 04/02/2007 - 06/01/2009 | LIVONIA, MI | |
B | 04/02/2007 - 06/01/2009 | LIVONIA, MI | |
IA | 08/30/2006 - 04/02/2007 | LIVONIA, MI | |
B | 10/04/2004 - 04/02/2007 | LIVONIA, MI |
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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.
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