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Sandeep Aggarwal Brokercheck

Sandeep Aggarwal Brokercheck

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Published by zerohedge
Sandeep Aggarwal Brokercheck
Sandeep Aggarwal Brokercheck

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Published by: zerohedge on Jul 30, 2013
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10/08/2013

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BrokerCheck Report
SANDEEP AGGARWAL
Report #47004-29149, data current as of Tuesday, July 30, 2013.
Section Title
Report SummaryBroker QualificationsRegistration and Employment History
CRD# 4219672
12 - 34
Page(s)
 
About BrokerCheck® 
BrokerCheck offers information on all current-and many former-FINRA-registered securities brokers, and all current andformer FINRA-registered securities firms. FINRA strongly encourages investors to use BrokerCheck to check thebackground of securities brokers and brokerage firms before deciding to conduct, or continue to conduct, business withthem.
··
What is included in a BrokerCheck report?
BrokerCheck reports for individual brokers include information such as employment history, professionalqualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheckreports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of thesame disclosure events mentioned above.Please note that the information contained in a BrokerCheck report may include pending actions or allegationsthat may be contested, unresolved or unproven. In the end, these actions or allegations may be resolved in favor of the broker or brokerage firm, or concluded through a negotiated settlement with no admission or finding of wrongdoing.
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Where did this information come from?
The information contained in BrokerCheck comes from FINRA’s Central Registration Depository, or CRD® and isa combination of:
o
information FINRA and/or the Securities and Exchange Commission (SEC) require brokers andbrokerage firms to submit as part of the registration and licensing process, and
o
information that regulators report regarding disciplinary actions or allegations against firms or brokers.
··
How current is this information?
Generally, active brokerage firms and brokers are required to update their professional and disciplinaryinformation in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokersand regulators is available in BrokerCheck the next business day.
··
What if I want to check the background of an investment adviser firm or investment adviser representative?
To check the background of an investment adviser firm or representative, you can search for the firm or individualin BrokerCheck. If your search is successful, click on the link provided to view the available licensing andregistration information in the SEC's Investment Adviser Public Disclosure (IAPD) website athttp://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your statesecurities regulator at http://www.nasaa.org.
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Are there other resources I can use to check the background of investment professionals?
FINRA recommends that you learn as much as possible about an investment professional before deciding to workwith them. Your state securities regulator can help you research brokers and investment adviser representativesdoing business in your state.
Thank you for using FINRA BrokerCheck.
Using this site/information meansthat you accept the FINRABrokerCheck Terms andConditions. A complete list of Terms and Conditions can befound atFor additional information aboutthe contents of this report, pleaserefer to the User Guidance or www.finra.org/brokercheck. Itprovides a glossary of terms and alist of frequently asked questions,as well as additional resources.
 
SANDEEP AGGARWAL
CRD# 4219672
This broker is not currently registered with FINRA.
Report Summary for this Broker 
This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.
Disclosure Events
Disclosure events are certain criminal matters;regulatory actions; civil judicial proceedings; customer complaints, arbitrations, or civil litigations;employment terminations; and financial matters inwhich the broker has been involved. Are there events disclosed about this broker?
No
Broker Qualifications
This broker is not currently registered withFINRA.This broker has passed:
0 Principal/Supervisory Exams3 General Industry/Product Exams1 State Securities Law Exam
Reistration Histor 
This broker was previously registered with FINRA athe following brokerage firms:
CARIS & COMPANY, INC.
CRD# 104235SAN FRANCISCO, CA05/2010 - 07/2011
COLLINS STEWART LLC.
CRD# 24790SAN FRANCISCO, CA04/2008 - 04/2010
OPPENHEIMER & CO. INC.
CRD# 249NEW YORK, NY05/2007 - 03/2008
1©2013 FINRA. All rights reserved. Report# 47004-29149 about SANDEEP AGGARWAL. Data current as of Tuesday, July 30, 2013.

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