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Ravdeep Bhasin Resigns from Principal Securities

Ravdeep Bhasin (CRD #: 7407441), a formerly registered broker, resigned from his firm, according to his BrokerCheck record, accessed on June 11, 2022. Read on if you have questions about Ravdeep Bhasin’s conduct as a broker.

Resignation from Principal Securities

On April 25, 2022, Ravdeep Bhasin was permitted to resign from Principal Securities after allegedly failing to adhere to firm policies regarding Form U4 (Uniform Application for Securities Industry Registration or Transfer) disclosures.

Civil Lien

In 2013, Ravdeep Bhasin was subject to an $84,643.78 civil lien.

Background Information

Ravdeep Bhasin has passed the following exams:

  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

He previously worked for Principal Securities (CRD#:1137).

Kurta Law Can Help

If you worked with Ravdeep Bhasin and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.