Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neshat? Claim Your ProfileNeshat Rowhani is a financial advisor registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Neshat has been in the financial services industry since 2016 and is currently employed with Vanguard Marketing Corp., a firm headquartered in Scottsdale, Arizona. Neshat holds the Series 7, Series 6, Series 63 and SIE licenses, and is registered in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. Prior to joining Vanguard Marketing Corp., Neshat worked for TIAA-CREF Individual & Institutional Services, LLC, Charles Schwab & Co., Inc., Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Ameriprise Financial Services, Inc., MML Investors Services, LLC, and Linsco/Private Ledger Corp.. Neshat is committed to providing clients with the highest quality financial advice and is dedicated to helping them reach their financial goals.
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.
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.
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2
AZ
11/16/2023 - Present
Vanguard Marketing Corp. (SCOTTSDALE AZ)
NY
09/02/2022 - 08/28/2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)
AZ
07/27/2021 - 12/04/2021
CHARLES SCHWAB & CO., INC. (Phoenix AZ)
AZ
10/12/2020 - 03/24/2021
MORGAN STANLEY (GILBERT AZ)
AZ
06/13/2020 - 11/10/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHANDLER AZ)
OR
08/05/2015 - 06/21/2016
AMERIPRISE FINANCIAL SERVICES, INC. (PORTLAND OR)
AZ
01/04/2014 - 02/19/2014
MML INVESTORS SERVICES, LLC (PHOENIX AZ)
SC
07/10/2000 - 06/29/2004
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NE
09/23/1999 - 02/10/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BC
Issued 08/31/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/12/2020
Series 7TO - General Securities Representative Examination
BC
Issued 06/21/2016
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2015
Series 7 - General Securities Representative Examination
BC
Issued 01/04/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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