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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dave? Claim Your ProfileDave Malhotra is a financial advisor at Fidelity Personal And Workplace Advisors. Dave has been in the financial industry since February 2018. Dave is licensed to provide financial advice in 53 states and the District of Columbia. Dave holds Series 6, 7TO, and 63 licenses as well as the SIE and Series 65 certifications. Dave has been working with clients on investment and retirement planning since 2018 and has experience working with high-net-worth individuals, corporations, and pension and profit-sharing plans.
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.
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.
A percentage of the total value of assets under management is charged.
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CA
04/17/2024 - Present
Fidelity Personal AND Workplace Advisors (SANTA CLARITA CA)
CA
12/21/2022 - 04/17/2023
E*TRADE SECURITIES LLC (LOS ANGELES CA)
CA
04/15/2019 - 12/19/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SANTA MONICA CA)
CA
02/23/2018 - 04/08/2019
U.S. BANCORP INVESTMENTS, INC. (MARINA DEL REY CA)
IA
Issued 07/26/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/23/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/15/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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