Radha Rai has been Chief Compliance Officer of Global Trust Asset Management since January 2023, is a control person of the firm and directly owns under 5% of it.
Global Trust Asset Management, LLC is a Palm Beach Gardens, FL firm with $450M under management, 276 clients and 7 advisers across 3 offices, as of its July 2026 filing.
Radha Rai’s longest registration was 2 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2012–2015).
- Ladenburg Thalmann Asset Management Inc– · 2 yearsWesthampton Beach, NY · Adviser representative · Firm CRD 108604
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 2 yearsSouthampton, NY · Adviser representative · Firm CRD 7691
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 12 May 2014 |
| Series 66 | Uniform Combined State Law Examination | 30 June 2012 |
| Series 7 | General Securities Representative Examination | 13 April 2012 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 6022922
- Firm
- Global Trust Asset Management · CRD 143120
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Radha Rai work?
Radha Rai has been Chief Compliance Officer of Global Trust Asset Management, LLC since January 2023, and is a control person of the firm.
Does Radha Rai have a current investment-adviser registration?
Radha Rai has no current investment-adviser or broker registration.
What exams has Radha Rai passed?
Radha Rai has passed 3 licensing exams: the Series 7, Series 66 and Series 9. The earliest, the Series 7, was passed in April 2012. FINRA credited Radha Rai with the SIE, which began in October 2018.
Where was Radha Rai previously registered as an investment adviser?
Radha Rai has past investment-adviser registrations through Ladenburg Thalmann Asset Management Inc, October 2015 to February 2018; Merrill Lynch, Pierce, Fenner & Smith Incorporated, July 2012 to May 2015, across 2 firms.
Is Radha Rai registered with FINRA?
No. Radha Rai has no current broker registration.
How can I verify Radha Rai’s record?
Search CRD 6022922 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Radha Rai’s full registration record.
Brian BresciaManaging Partner- Michele BresciaChief Relationship Officer
- Alexia McCluskeyMember