Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Abhijit? Claim Your ProfileAbhijit Roy is a registered representative with Principal Securities, Inc. Abhijit Roy has been in the financial services industry since 2019. Abhijit Roy has worked for several financial institutions including CETERA ADVISOR NETWORKS LLC, CETERA ADVISORS LLC, CETERA FINANCIAL SPECIALISTS LLC, FIRST ALLIED SECURITIES, INC. and SUMMIT BROKERAGE SERVICES, INC. Abhijit Roy holds Series 66, Series 4, Series 24, Series 7TO and SIE licenses. Abhijit Roy is registered in Iowa.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NA
09/08/2022 - Present
Principal Securities, Inc. (PUNE MAHARASHTRA )
NA
03/16/2021 - 12/15/2021
INTERACTIVE BROKERS LLC (Mumbai, Maharashtra )
CA
04/24/2019 - 02/05/2021
CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)
CO
04/24/2019 - 02/05/2021
CETERA ADVISORS LLC (GREENWOOD VILLAGE CO)
IL
04/24/2019 - 02/05/2021
CETERA FINANCIAL SPECIALISTS LLC (SCHAUMBURG IL)
NA
04/24/2019 - 02/05/2021
FIRST ALLIED SECURITIES, INC. (GACHIBOWLI, HYD )
FL
04/24/2019 - 12/03/2019
SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)
BOTH
Issued 10/09/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/26/2021
Series 4 - Registered Options Principal Examination
BC
Issued 08/21/2019
Series 24 - General Securities Principal Examination
BC
Issued 04/24/2019
Series 7TO - General Securities Representative Examination
BC
Issued 03/25/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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