Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maria? Claim Your ProfileMaria Giovanna Lupu is an investment advisor representative with over 20 years of experience in the financial services industry. Maria is currently registered with Morgan Stanley and has previously worked with RBC Capital Markets, LLC, Wachovia Securities, LLC, A.G. Edwards & Sons, Inc., Wells Fargo Investments, LLC, and Wells Fargo Securities Inc. Maria holds a Series 7, Series 31, Series 66, and SIE licenses and is currently registered in 20 states. Maria is also a registered investment advisor in California and Texas. Maria specializes in portfolio management for individuals, businesses, and investment companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
05/26/2023 - Present
Morgan Stanley (Santa Monica CA)
CA
09/12/2008 - 06/07/2023
RBC CAPITAL MARKETS, LLC (BEVERLY HILLS CA)
CA
01/01/2008 - 09/16/2008
WACHOVIA SECURITIES, LLC (BEVERLY HILLS CA)
CA
07/03/2003 - 01/03/2008
A. G. EDWARDS & SONS, INC. (BEVERLY HILLS CA)
CA
05/02/2001 - 07/22/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
09/26/2000 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
BOTH
Issued 08/24/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 09/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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