Unclaimed
Prerna Gadhia Gupta is a financial advisor who has been in the industry since 2007. Prerna is currently registered with Pimco Investments LLC and holds several licenses, including Series 7, Series 3, Series 55, and Series 63. Previously, Prerna worked at Citigroup Global Markets Inc. from 2005 to 2019. Prerna is licensed in all states in the U.S. and holds a Series SIE designation.
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.
1
2
NY
06/24/2021 - Present
Pimco Investments LLC (NEW YORK NY)
NY
10/04/2005 - 12/03/2019
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 10/31/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/24/2005
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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