Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anupa? Claim Your ProfileAnupa Philip is a financial advisor with over 10 years of experience in the industry. She has held positions at several prominent firms, including Wells Fargo Advisors, J.P. Morgan Securities LLC, and Fidelity Brokerage Services LLC. Anupa is currently registered with RBC Capital Markets, LLC as a Registered Representative in Texas. Anupa holds a Series 6, 7, 9, 10, 63, 65, and SIE license and has a strong track record of providing comprehensive financial advice to individuals and businesses. She is passionate about helping clients reach their financial goals and is committed to providing personalized and customized solutions.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
TX
06/05/2024 - Present
RBC Capital Markets, LLC (DALLAS TX)
TX
01/30/2023 - 01/05/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
02/20/2020 - 04/13/2022
J.P. MORGAN SECURITIES LLC (Plano TX)
TX
02/19/2019 - 12/13/2019
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
11/10/2016 - 02/12/2019
CAPITAL ONE INVESTING, LLC (Plano TX)
TX
08/03/2013 - 10/27/2016
WELLS FARGO ADVISORS, LLC (FRISCO TX)
IA
Issued 08/19/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/20/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/08/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2016
Series 7 - General Securities Representative Examination
BC
Issued 08/02/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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