Unclaimed
Ketan Purohit is a financial advisor with over 20 years of experience in the financial services industry. Ketan has held positions at several prominent firms, including UBS Financial Services, Morgan Stanley, and Citigroup Global Markets. Currently, Ketan is a registered representative with Charles Schwab & Co., Inc. Ketan is licensed to provide investment advice in multiple states. Ketan holds Series 7 and Series 65 licenses, demonstrating his expertise in securities and investment advisory services. Ketan is dedicated to providing clients with personalized financial guidance and strategies to help them achieve their financial goals.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
FL
02/29/2024 - Present
Charles Schwab & CO., Inc. (Tampa FL)
NY
12/12/2014 - 10/12/2021
UBS FINANCIAL SERVICES INC. (New York NY)
NY
10/10/2012 - 12/17/2014
MORGAN STANLEY (NEW YORK NY)
NY
05/29/2007 - 08/18/2011
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
12/15/2005 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
IL
10/01/2003 - 01/05/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NJ
12/03/2002 - 10/02/2003
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NY
04/16/2002 - 11/12/2002
FAHNESTOCK & CO. INC. (NEW YORK NY)
NY
07/19/2001 - 04/16/2002
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
IA
Issued 11/10/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 10/2/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/18/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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