Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Navin? Claim Your ProfileNavin Gupta is a financial professional with over 10 years of experience in the industry. Navin currently works at Oppenheimer & Co. Inc. as a registered representative. Prior to that, Navin worked at RBC Capital Markets, LLC, Credit Suisse Securities (USA) LLC, and Nomura Securities International, Inc. Navin is registered with the state of New York and holds the Series 63, SIE, and Series 79 licenses. Navin's specializations include: Investment Advisory Services, Broker/Dealer Services, Investment Banking, Trading and Sales, and Mutual Funds.
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.
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.
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.
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2
NY
08/26/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
11/07/2017 - 09/16/2021
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
09/19/2016 - 11/07/2017
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
08/08/2012 - 09/27/2016
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
BC
Issued 08/10/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2012
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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