Surojeet Ghatak

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-09-30

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Fidelity Investments Institutional Services Company, Inc.	Boston	MA	07/1987	12/2017
Unemployed	Arlington	MA	01/2018	06/2018
Cambridge Investment Research, Inc.	Fairfield	IA	06/2018	08/2022
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	03/2020	08/2022
The Noble Group	Sugar Land	TX	08/2022	Present
Raymond James Financial Services Group, Inc.	Sugar Land	TX	08/2022	09/2024
Raymond James Financial Services Advisors, Inc.	Sugar Land	TX	08/2022	09/2024
Lpl Financial Llc	Sugar Land	TX	09/2024	Present

07/1987 → 12/2017

Fidelity Investments Institutional Services Company, Inc.

Boston, MA
01/2018 → 06/2018

Unemployed

Arlington, MA
06/2018 → 08/2022

Cambridge Investment Research, Inc.

Fairfield, IA
03/2020 → 08/2022

Cambridge Investment Research Advisors, Inc.

Fairfield, IA
08/2022 → Present

The Noble Group

Sugar Land, TX
08/2022 → 09/2024

Raymond James Financial Services Group, Inc.

Sugar Land, TX
08/2022 → 09/2024

Raymond James Financial Services Advisors, Inc.

Sugar Land, TX
09/2024 → Present

Lpl Financial Llc

Sugar Land, TX

2022-08-22 → 2024-10-07

Raymond James Financial Services Advisors, Inc

Sugar Land, TX
2020-03-27 → 2022-08-26

Cambridge Investment Research Advisors, Inc.

Albuquerque, NM

Spring, TX

1) 09/2024 - The Noble Group / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s)

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-09-23

Other Firms