Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rajan? Claim Your ProfileRajan Arora is a financial professional with over 15 years of experience in the industry. Rajan is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since January 2020. Previously, Rajan was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Capital Inc., and Neuberger Berman, LLC. Rajan specializes in providing financial planning, investment consulting services to institutional clients, and portfolio management for businesses and individuals.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
01/11/2024 - Present
Wells Fargo Clearing Services, LLC (SHORT HILLS NJ)
NY
08/06/2015 - 01/27/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/16/2012 - 08/19/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
03/03/2008 - 10/28/2008
NEUBERGER BERMAN, LLC (NEW YORK NY)
NY
07/01/2004 - 01/07/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
IL
08/27/2001 - 02/28/2003
ERNST & YOUNG CORPORATE FINANCE LLC (CHICAGO IL)
NY
05/09/2000 - 02/09/2001
CHASE SECURITIES INC. (NEW YORK NY)
IA
Issued 12/07/2012
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/13/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/30/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/23/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 09/17/2004
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 05/08/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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