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Gautam Vora

Financial Design & Research

Albuquerque, NM

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Current Employers
Financial Design & Research

Albuquerque, NM • United States

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2024-07-10
  • NM RA
    APPROVED
    Since 2024-07-10

Branch Locations

Albuquerque, NM • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Albuquerque NM 10/2015 12/2021
University Of New Mexico Albuquerque NM 08/1989 06/2021
Financial Design & Research Albuquerque NM 01/2022 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-09-01
S65 Uniform Investment Adviser Law Examination 2019-07-24
  • S63 Uniform Securities Agent State Law Examination
    2020-09-01
  • S65 Uniform Investment Adviser Law Examination
    2019-07-24
Designations

View on SEC IAPD

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