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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dilip? Claim Your ProfileDilip Kumar Gupta has been a registered investment advisor representative for over 30 years and has been with Wells Fargo Advisors Financial Network, LLC since November 2021. Prior to that, Gupta worked at Wells Fargo Clearing Services, LLC, A. G. Edwards & Sons, Inc., Morgan Stanley DW Inc., Prudential Securities Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Hemet Securities & Financial Corp. Gupta specializes in portfolio management for individuals and businesses, financial planning, and pension consulting. Gupta holds Series 7, 24, 27, 31, 53 and 63 licenses as well as the SIE and Series 65 licenses. Gupta is also a Certified Financial Planner.
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.
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.
Investment consulting services to institutional clients
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.
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2
CA
11/08/2021 - Present
Wells Fargo Advisors Financial Network, LLC (CHULA VISTA CA)
CA
01/01/2008 - 11/05/2021
WELLS FARGO CLEARING SERVICES, LLC (CHULA VISTA CA)
CA
02/17/2006 - 01/03/2008
A. G. EDWARDS & SONS, INC. (CHULA VISTA CA)
NY
05/30/2000 - 02/21/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
03/17/1995 - 06/01/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
09/06/1991 - 03/22/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
AZ
08/19/1991 - 09/16/1991
HEMET SECURITIES & FINANCIAL CORP. (PHOENIX AZ)
NY
11/08/1988 - 08/14/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
02/23/1988 - 12/08/1988
MARSHALL DAVIS, INC.
NA
08/24/1987 - 10/30/1987
F.D. ROBERTS SECURITIES, INC.
IA
Issued 07/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/03/2024
Series 24 - General Securities Principal Examination
BC
Issued 07/05/1991
Series 27 - Financial and Operations Principal Examination
BC
Issued 07/05/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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