Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raj? Claim Your ProfileRaj Christian Bhattacharya is a financial advisor with RBC Capital Markets, LLC. Raj has been working in the industry since 1994. Raj has experience working with a variety of clients, including individuals, families, corporations, and institutions. Raj provides a range of financial services, including financial planning, portfolio management, and investment advisory services. Raj holds the Series 6, 7, 31, and 65 licenses, as well as the SIE exam certification.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
MN
08/23/2023 - Present
RBC Capital Markets, LLC (WAYZATA MN)
VA
03/04/2016 - 08/28/2023
WELLS FARGO CLEARING SERVICES, LLC (MCLEAN VA)
DC
02/27/2009 - 03/15/2016
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
DC
04/02/2007 - 03/02/2009
MORGAN STANLEY & CO. INCORPORATED (WASHINGTON DC)
DC
05/04/2004 - 04/02/2007
MORGAN STANLEY DW INC. (WASHINGTON DC)
NJ
10/06/1994 - 05/25/2004
PRUCO SECURITIES, LLC. (NEWARK NJ)
IA
Issued 06/04/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 05/14/1997
Series 7 - General Securities Representative Examination
BC
Issued 10/05/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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