Unclaimed
Puneet Chawla is a financial advisor with Cetera Investment Advisers LLC. Puneet has over 10 years of experience in the financial services industry. Puneet specializes in providing financial advice and investment management to individuals, businesses, and charitable organizations.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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06/29/2023 - Present
Cetera Investment Advisers LLC (GURUGRAM )
CA
09/08/2020 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
FL
07/20/2015 - 12/03/2019
SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)
CA
07/20/2015 - 11/02/2017
GIRARD SECURITIES, INC. (SAN DIEGO CA)
MA
07/20/2015 - 11/09/2016
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
KS
07/20/2015 - 11/09/2016
VSR FINANCIAL SERVICES, INC. (OVERLAND PARK KS)
BOTH
Issued 12/24/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 8/30/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/4/2017
Series 53 - Municipal Securities Principal Examination
BC
Issued 1/4/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/23/2017
Series 52 - Municipal Securities Representative Examination
BC
Issued 8/8/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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