Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kapil? Claim Your ProfileKapil Joshi is a financial advisor with over 10 years of experience in the industry. Kapil Joshi is currently registered with Principal Securities, Inc. and has held previous registrations with Cetera Advisor Networks LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC and Summit Brokerage Services, Inc. Kapil Joshi specializes in providing financial planning, pension consulting, and educational seminars. Kapil Joshi's services are available to a range of clients, including individuals, corporations, charitable organizations, 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.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
01/05/2024 - Present
Principal Securities, Inc. (DES MOINES IA)
CA
03/11/2019 - 09/08/2020
CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)
CO
03/11/2019 - 09/08/2020
CETERA ADVISORS LLC (GREENWOOD VILLAGE CO)
IL
03/11/2019 - 09/08/2020
CETERA FINANCIAL SPECIALISTS LLC (SCHAUMBURG IL)
MN
03/11/2019 - 09/08/2020
CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)
FL
03/11/2019 - 12/03/2019
SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)
BOTH
Issued 12/27/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/12/2024
Series 4 - Registered Options Principal Examination
BC
Issued 12/19/2019
Series 24 - General Securities Principal Examination
BC
Issued 03/13/2022
Series 7TO - General Securities Representative Examination
BC
Issued 12/17/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
Not sure Kapil Joshi is the right advisor for you? Invested Better is here to help.
