Radha Rai, financial advisor Westhampton Beach NY
78 score

Radha Rai

CRD Number: 6022922
Current Firm: Ladenburg Thalmann Asset Management Inc.

Radha Rai (CRD# 6022922) is an Investment Advisor Representative working at Ladenburg Thalmann Asset Management Inc. in Westhampton Beach, NY and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Ladenburg Thalmann & Company, Inc. Westhampton Beach, NY Oct 2015 - Current 1
Ladenburg Thalmann Asset Management Westhampton Beach, NY Oct 2015 - Current 1
Gilford Securities Westhampton Beach, NY May 2015 - Oct 2015 < 1
Bank Of America, N.a. Riverhead, NY Apr 2012 - May 2015 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Riverhead, NY Jan 2012 - May 2015 3
Radha Rai, Pc Consulting With Labaton, Sucharow LLP New York, NY Mar 2011 - Jan 2012 < 1
The Garden City Group, Inc. Melville, NY May 2009 - Mar 2011 1
Unemployed N/a, NY Mar 2009 - May 2009 < 1
Labaton Sucharow, LLP New York, NY Sep 2008 - Mar 2009 < 1
Clutch Group LLC New York, NY Jun 2008 - Sep 2008 < 1
Sokolin LLC Bridgehamtpon, NY Nov 2006 - Jun 2008 1
Unemployed N/a, NY Oct 2004 - Nov 2006 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Radha Rai
Phone Number: 212-409-2000
Firm Website: http://www.ltam.com
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    2,004
    MILLIONS
  • Total Number of Accounts
    8,475
    ACCOUNTS
  • Average Account Value
    $236,403
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
78

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