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Preeti Raghupathi

Wells Fargo Securities, LLC

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About Preeti Raghupathi

Preeti Raghupathi is a financial professional with over a decade of experience in the industry. Preeti is currently registered with Wells Fargo Securities, LLC and is licensed to offer securities and investment advisory services in all 50 states. Preeti has held previous roles at Moelis & Company LLC, Citadel Securities LLC, and Goldman, Sachs & Co. Preeti holds the Series 7, Series 63, Series 79TO, Series 99TO, and SIE licenses.

Firm Information

Preeti Raghupathi is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Preeti Raghupathi’s Registration & Firm History

CA

07/10/2013 - Present

Wells Fargo Securities, LLC (SAN FRANCISCO CA)

CA

10/22/2012 - 03/08/2013

MOELIS & COMPANY LLC (PALO ALTO CA)

CA

01/05/2012 - 10/19/2012

WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)

CA

01/26/2010 - 08/26/2011

CITADEL SECURITIES LLC (PALO ALTO CA)

NY

09/06/2007 - 12/31/2008

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/04/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/05/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

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

Disclosures

There are no public disclosures for Preeti Raghupathi.
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