RB
CFP
RB
CFP
Rakesh Bharti is a CFP-designated registered investment advisor, based in Ann Arbor, MI, with 21 years of industry experience.
Location
300 Parkland Plaza, Ann Arbor, MI, 48103
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
September 2010Other Business ActivitiesSells Insurance
Rakesh is an independently licensed insurance agent appointed with various insurance companies. He also works as a manager for Ellington Farms Association, dedicating minimal time to this role.
Employment History
Current Registrations
Sigma Financial CorporationBroker
April 2019 - Present · 7 yrs 1 mo
Spc
April 2019 - Present · 7 yrs 1 mo
Previous Registrations
Ameriprise Financial Services, INC.Broker
September 2010 - April 2019 · 8 yrs 7 mos
Ameriprise Financial Services, INC.
September 2010 - April 2019 · 8 yrs 7 mos
Morgan Stanley Smith BarneyBroker
June 2009 - October 2010 · 1 yr 4 mos
Morgan Stanley Smith Barney LLC
June 2009 - October 2010 · 1 yr 4 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
August 2006 - April 2007 · 8 mos
Morgan Stanley Dw INC.Broker
October 2004 - April 2007 · 2 yrs 6 mos
State Registrations3 states
CTFLTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.