About our CCO
Personal CRD Number: 5851980
Investment Adviser Representative, Managing member & COO,
Peaceful Advisors LLC
Prabhu V. Mogulla
Personal CRD Number: 5851980
Investment Adviser Representative,
Managing member & COO, Peaceful Advisors LLC
Education Background
Masters Engineering, Lamar University – 1995
Business Background
10/2017 – Present : Managing Member & CCO, Peaceful Advisors LLC
01/2006 – Present : President, Profcon Inc
04/2014 – 10/2016 : Investment Adviser Representative, Waddell & Reed
04/2014 – 10/2016 : Registered Representative, Waddell & Reed
12/2011 – 11/2012 : Investment Adviser Representative, Waddell & Reed, Inc.
07/2011 – 11/2012 : Registered Representative, Waddell & Reed, Inc.
Disciplinary Information
There are no legal or disciplinary events that are material to a client’s or prospective client’s evaluation of this advisory business.
Other Business Activities
Prabhu V. Mogulla is an independent licensed insurance agent, and from time to time, will offer clients advice or products from those activities. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. PAL always acts in the best interest of the client; including the sale of commissionable products to advisory clients. Clients are in no way required to utilize the services of any representative of PAL in connection with such individual’s activities outside of PAL.
Prabhu V. Mogulla owns a consulting firm; Profcon Inc. This business provides staffing services to individuals and businesses. PAL always acts in the best interest of the client and clients always have the right to decide whether or not to utilize the services of any PAL representative in such individual’s outside capacities.
Additional Compensation
Prabhu V. Mogulla does not receive any economic benefit from any person, company, or organization, other than Peaceful Advisors LLC in exchange for providing clients advisory services through Peaceful Advisors LLC.
Supervision
As the Chief Compliance Officer of Peaceful Advisors LLC, Prabhu V. Mogulla supervises all activities of the firm. prabhu v mogulla’s contact information is on the cover page of this disclosure document. Prabhu V. Mogulla adheres to applicable regulatory requirements, together with all policies and procedures outlined in the firm’s code of ethics and compliance manual.
Requirements For State Registered Advisers
This disclosure is required by state securities authorities and is provided for your use in evaluating this investment advisor representative’s suitability.
A) Prabhu V. Mogulla has NOT been involved in any of the events listed below.
1) An award or otherwise being found liable in an arbitration claim alleging damages in excess of $2,500, involving any of the following:
- an investment or an investment-related business or activity;
- fraud, false statement(s), or omissions;
- theft, embezzlement, or other wrongful taking of property;
- bribery, forgery, counterfeiting, or extortion; or
- dishonest, unfair, or unethical practices.
2) An award or otherwise being found liable in a civil, self-regulatory organization, or administrative proceeding involving any of the following:
- an investment or an investment-related business or activity;
- fraud, false statement(s), or omissions;
- theft, embezzlement, or other wrongful taking of property;
- bribery, forgery, counterfeiting, or extortion; or
- dishonest, unfair, or unethical practices.
B) Prabhu V. Mogulla has NEVER been the subject of a bankruptcy.
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