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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Naveen? Claim Your ProfileAdvisors 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
NY
01/22/2010 - Present
Wealthpenn.comllc (PURCHASE NY)
NJ
12/10/2020 - 09/05/2023
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
MA
04/16/2009 - 01/19/2010
LEERINK SWANN LLC (BOSTON MA)
NY
04/24/2007 - 03/24/2009
STANFORD GROUP COMPANY (NEW YORK NY)
NY
06/01/2006 - 04/23/2007
INSTINET, LLC (NEW YORK NY)
NY
09/21/2004 - 06/01/2006
INSTINET, LLC (NEW YORK NY)
NY
12/15/2003 - 10/06/2004
RODMAN & RENSHAW, LLC (NEW YORK NY)
FL
08/21/2003 - 12/08/2003
STERLING FINANCIAL INVESTMENT GROUP, INC. (BOCA RATON FL)
OH
01/21/2000 - 12/20/2002
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
MI
11/30/1995 - 01/14/2000
OLDE DISCOUNT CORPORATION (DETROIT MI)
BC
Issued 11/24/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/11/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/9/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 8/29/2000
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 11/14/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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