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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anusha? Claim Your ProfileAnusha Sriram is an experienced financial advisor, with over 10 years of experience in the industry. Anusha has worked with several firms, including Merrill Lynch, Citigroup Global Markets Inc, and JP Morgan Securities LLC, building a deep understanding of investment strategies. Currently, Anusha is a registered representative with UBS Financial Services Inc., providing investment advice to individuals, businesses, and institutions. Anusha is dedicated to helping clients achieve their financial goals and provides a wide range of services, including financial planning, portfolio management, and retirement planning.
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.
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.
See schedule d - miscellaneous
1
2
CA
01/20/2023 - Present
UBS Financial Services Inc. (Los Angeles CA)
CA
03/16/2021 - 01/03/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SEAL BEACH CA)
CA
06/26/2017 - 03/12/2021
CITIGROUP GLOBAL MARKETS INC. (CERRITOS CA)
CA
03/06/2013 - 06/06/2017
J.P. MORGAN SECURITIES LLC (CERRITOS CA)
CA
11/08/2012 - 02/26/2013
LPL FINANCIAL LLC (NEWPORT BEACH CA)
CA
01/02/2012 - 10/23/2012
PRUCO SECURITIES, LLC. (CITY OF INDUSTRY CA)
BOTH
Issued 11/18/2020
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/03/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/12/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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