Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jimi? Claim Your ProfileJimi Sidhu is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Jimi has been in the securities industry since 2006. Jimi has held previous positions at Southridge Investment Group LLC, Advisors Asset Management, Inc., Investors Capital Corp., Brookstreet Securities Corporation, Linsco/Private Ledger Corp., WM Financial Services, Inc., Great Western Financial Securities Corporation, J.B. Oxford & Company and Baraban Securities, Inc. Jimi holds the Series 63, Series 66, Series 7TO, and Series 7 licenses and has passed the SIE exam. Jimi's current registrations are with Merrill Lynch, Pierce, Fenner & Smith Inc. in California for both Broker-Dealer and Investment Advisor.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
08/21/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WALNUT CREEK CA)
CT
08/11/2011 - 09/02/2011
SOUTHRIDGE INVESTMENT GROUP LLC (RIDGEFIELD CT)
CO
06/03/2008 - 08/14/2009
ADVISORS ASSET MANAGEMENT, INC. (MONUMENT CO)
CA
07/30/2007 - 05/30/2008
INVESTORS CAPITAL CORP. (PLEASANTON CA)
CA
05/08/2007 - 07/23/2007
BROOKSTREET SECURITIES CORPORATION (DUBLIN CA)
SC
02/24/2006 - 05/10/2007
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
CA
05/01/1998 - 09/27/2005
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
03/20/1997 - 05/01/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
CA
09/30/1996 - 10/08/1996
J.B. OXFORD & COMPANY (SHERMAN OAKS CA)
CA
08/08/1996 - 09/30/1996
BARABAN SECURITIES, INC. (LOS ANGELES CA)
BOTH
Issued 08/18/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/29/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/2019
Series 7TO - General Securities Representative Examination
BC
Issued 03/16/2019
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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