Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anay? Claim Your ProfileAnay Kumar Srivastava is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated, a firm with a long history in the financial services industry. Anay has worked in the financial industry since 1994 and has held positions at several firms, including J.P. Morgan Securities LLC, Wells Fargo Clearing Services, LLC, and Southwest Securities, Inc. Anay holds Series 7, Series 63, and Series 66 licenses and has a broad understanding of the financial markets. Anay is committed to providing clients with personalized financial advice and helping them achieve their financial goals.
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.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
05/31/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
09/12/2019 - 04/25/2023
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
TX
08/10/2016 - 07/11/2019
WELLS FARGO CLEARING SERVICES, LLC (HOUSTON TX)
VA
01/10/2015 - 03/08/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NORFOLK VA)
TX
06/03/2013 - 12/06/2013
INVESTMENT PROFESSIONALS, INC. (SAN ANTONIO TX)
TX
12/06/2012 - 06/04/2013
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD. (IRVING TX)
TX
11/18/2011 - 06/29/2012
SOUTHWEST SECURITIES, INC. (DALLAS TX)
TX
05/04/2010 - 11/14/2011
COMERICA SECURITIES (DALLAS TX)
TX
10/10/2005 - 05/17/2010
METLIFE SECURITIES INC. (HOUSTON TX)
TX
10/10/2005 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (HOUSTON TX)
NY
04/30/2004 - 04/26/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
12/06/2002 - 05/10/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NA
05/12/1994 - 05/05/1995
ALEX. BROWN & SONS INCORPORATED
NA
10/08/1993 - 03/22/1994
GOVERNMENT SECURITIES CORPORATION
BOTH
Issued 12/19/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/17/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/5/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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