Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mandeep? Claim Your ProfileMandeep Kaur is an active investment advisor representative registered with Raymond James Financial Services Advisors, Inc., based in Rocklin, CA. Mandeep has been in the industry since 2006 and holds various securities licenses, including Series 7, Series 24, Series 52, Series 53, and Series 66. Previously, Mandeep was registered with Essex National Securities, Inc. and Wells Fargo Investments, LLC. Mandeep works with a variety of client types, including individuals, businesses, insurance companies, and retirement 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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
01/19/2012 - Present
Raymond James Financial Services Advisors, Inc. (ROCKLIN CA)
CA
03/17/2009 - 01/25/2012
ESSEX NATIONAL SECURITIES, INC. (ROCKLIN CA)
CA
11/14/2005 - 01/22/2009
WELLS FARGO INVESTMENTS, LLC (SACRAMENTO CA)
BOTH
Issued 11/28/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 2/28/2017
Series 53 - Municipal Securities Principal Examination
BC
Issued 8/9/2011
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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