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.
In 2013, Ravdeep Bhasin was subject to an $84,643.78 civil lien.
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 firstname.lastname@example.org for a free consultation.
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