Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bharti? Claim Your ProfileBharti Gupta is a financial advisor who has been in the industry since August 2017. She is currently registered with Charles Schwab & CO., Inc. and has been with them since August 2019. Prior to that, Bharti Gupta worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, AXA Advisors, LLC, and The Equitable Life Assurance Society of the United States. Bharti Gupta holds Series 63, 66, 7, 9, 10, and SIE licenses. Bharti Gupta is a registered representative in California and offers financial planning, portfolio management for individuals, and other 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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CA
09/04/2019 - Present
Charles Schwab & CO., Inc. (Walnut Creek CA)
CA
10/25/2018 - 06/26/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WALNUT CREEK CA)
NY
04/12/1999 - 09/08/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
04/12/1999 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 11/30/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/19/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/18/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/24/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/26/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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