Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ajay? Claim Your ProfileAjay Kumar Gupta is a financial professional with over 8 years of experience in the financial services industry. Ajay is registered as a Registered Representative and Investment Adviser Representative with Wells Fargo Clearing Services, LLC and has an active Series 6, 7, 63 and 65 licenses. Ajay has worked at a variety of financial firms including Wells Fargo Advisors LLC, Wells Fargo Bank, NA and Texas Capital Bank Private Wealth Advisors. Ajay specializes in working with individual investors and businesses. Ajay also provides financial planning, portfolio management and investment consulting services.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
TX
10/03/2024 - Present
Wells Fargo Clearing Services, LLC (LAKEWAY TX)
TX
11/19/2015 - 09/25/2023
WELLS FARGO CLEARING SERVICES, LLC (BEE CAVE TX)
IA
Issued 01/29/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/2017
Series 7 - General Securities Representative Examination
BC
Issued 11/19/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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