Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hormoz? Claim Your ProfileHormoz Saleh is an investment advisor representative registered with RBC Capital Markets, LLC. Hormoz has been in the industry since 1980 and has previously been registered with Morgan Stanley, Citigroup Global Markets Inc., UBS Financial Services Inc., CIBC World Markets Corp. and Kidder, Peabody & Co. Incorporated. Hormoz is licensed in 34 states and has passed the Series 3, 7, 63, 65 and SIE exams. Hormoz specializes in public and private employee benefit plans, endowment funds, foundations, family trusts and various capital/operating funds. Hormoz also provides financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for businesses and individuals.
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
CA
08/10/2020 - Present
RBC Capital Markets, LLC (BEVERLY HILLS CA)
CA
06/01/2009 - 08/11/2020
MORGAN STANLEY (BEVERLY HILLS CA)
CA
06/06/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
CA
12/03/1999 - 06/20/2008
UBS FINANCIAL SERVICES INC. (CENTURY CITY CA)
NY
10/25/1995 - 01/05/2000
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
07/13/1990 - 10/25/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/01/1980 - 07/27/1990
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 09/20/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/21/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/1984
Series 3 - National Commodity Futures Examination
BC
Issued 06/21/1980
Series 7 - General Securities 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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