Calvin R. Persaud, CRPC®
CRD # 3261683
Calvin R. Persaud is a Chartered Retirement Planning Counselor (CRPC®) with a wealth of knowledge and experience in the financial industry. His recent endeavors have primarily revolved around creating and overseeing supervisory and compliance programs for broker-dealers and registered investment advisers catering to both US-based and international clientele. He has collaborated with esteemed organizations such as SunTrust Investment Services Inc., SunTrust Advisory Services LLC, Northwestern Mutual Investment Services LLC, and JPMorgan Securities LLC.
Since 2018, Mr. Persaud has served in senior supervisory and compliance positions with six FINRA- member firms focused on serving a large customer base globally, as follows:
03/2025 – Present: Chief Compliance Officer for S2K Financial LLC
03/2024 – 02/2025: Chief Executive Officer/Chief Compliance Officer - Architect Securities LLC
11/2023 – 03/2024: Chief Compliance Officer of FG Advisory LLC
11/2023 – 07/2024: Deputy Compliance Officer of Ortex Securities LLC
05/2022 – 11/2023: Chief Executive Officer of Planner Securities LLC
06/2019 – 06/2021: Chief Compliance Officer of Avenue Securities LLC
07/2019 – 06/2021: Chief Compliance Officer of Avenue Global Advisors LLC
12/2018 – 10/2020: Chief Compliance Officer of Passfolio Securities LLC
Mr. Persaud commenced his career in the financial sector in 2009 by joining J.P. Chase Bank N.A./JPMorgan Securities LLC as a banker. He effectively managed a portfolio of affluent clients, optimizing investment opportunities through the formulation and execution of tailored investment strategies designed to assist clients in achieving both their immediate and long-term objectives, all while ensuring a high level of customer satisfaction. Additionally, Mr. Persaud was tasked with the opening of brokerage accounts, overseeing client documentation, and addressing client concerns.
In December 2014, Mr. Persaud moved to Northwestern Mutual Investment Services, LLC., where he served as a Financial Representative. As a Financial Representative, he worked with families, business owners, and industry professionals to organize customized financial plans that protected their families and assets and planned for retirement. Mr. Persaud formulated investment programs designed to achieve stated investment objectives, managed client documentation, and created transition plans.
In February 2015, Mr. Persaud joined SunTrust Investment Services, Inc./SunTrust Advisory Services, LLC. as a Financial Adviser. As a Financial Adviser, he focused on advising the development and implementation of investment strategies to help clients meet their immediate and future goals through a financial planning process. Mr. Persaud managed the daily workflow for the Advisor Team, including opening brokerage accounts, entering orders, managing client documentation, and serving as the primary resource for general market conditions, investment and risk management policies, and analysis of the market and products for clients.
In February 2017, Mr. Persaud joined GWN Securities, Inc. as a Supervisory Principal. Mr. Persaud ensured that all new business and in-force transactions were resolved in accordance with the firm's written supervisory procedures and regulatory standards. He was also responsible for internal audit reviews of operations processes such as new accounts opening and maintenance, securities transfers, and regulatory requests.
Mr. Persaud graduated from Johnson & Wales University with a Bachelor of Science in Business Management and an Associate of Science in Business Administration.
He holds FINRA Series 6,7,63,65, 66, 99, SIE, and 24 licenses.
