Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kulvinder? Claim Your ProfileKulvinder K Rai is a financial advisor registered with LPL Financial LLC since 2012. Prior to joining LPL Financial LLC, Kulvinder worked at Charles Schwab & Co., INC., Fidelity Brokerage Services LLC and E*TRADE Securities LLC. Kulvinder has passed the Uniform Combined State Law Examination, Uniform Securities Agent State Law Examination, Municipal Securities Principal Examination, Registered Options Principal Examination, General Securities Principal Examination, Securities Industry Essentials Examination, National Commodity Futures Examination and General Securities Representative Examination. Kulvinder is registered in California, Georgia, Nevada and Oregon.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
04/02/2012 - Present
LPL Financial LLC (FAIR OAKS CA)
CA
09/07/2007 - 04/24/2012
CHARLES SCHWAB & CO., INC. (ROSEVILLE CA)
AZ
05/17/2005 - 05/24/2007
FIDELITY BROKERAGE SERVICES LLC (CHANDLER AZ)
NJ
09/24/1997 - 04/28/2005
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
BOTH
Issued 09/18/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/07/2000
Series 4 - Registered Options Principal Examination
BC
Issued 09/23/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2006
Series 3 - National Commodity Futures Examination
BC
Issued 09/03/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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