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Ketan Purohit

Charles Schwab & CO., Inc.

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About Ketan Purohit

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.

Firm Information

Ketan Purohit is currently registered with Charles Schwab & CO., Inc.. CHARLES SCHWAB & CO., INC. is a corporation formed in April 1971 and headquartered in San Francisco, California. They offer financial planning, wrap fee programs, and select other advisors. They operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.
Charles Schwab & CO., Inc.

4304 W Boy Scout Blvd.

Tampa, FL 33607

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Ketan Purohit’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Ketan Purohit.
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