Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rajpreet? Claim Your ProfileRajpreet Sangha is an Investment Advisor Representative with Principal Securities, Inc. Rajpreet has been in the securities industry since 2014. Rajpreet is registered with FINRA as a General Securities Representative and has a Series 63 and Series 65 license. Rajpreet also has a Series 6 license and has passed the SIE exam. Rajpreet has held previous positions at Wells Fargo Clearing Services, LLC and MISSION SQUARE INVESTMENT SERVICES. In addition to working as an Investment Advisor Representative at Principal Securities, Rajpreet is also a Bank/Trust Officer for Principal Bank and Principal Trust Company.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
09/27/2023 - Present
Principal Securities, Inc. (DES MOINES IA)
DC
10/05/2018 - 09/27/2023
MISSIONSQUARE INVESTMENT SERVICES (WASHINGTON DC)
CA
06/27/2014 - 08/21/2017
WELLS FARGO CLEARING SERVICES, LLC (MODESTO CA)
IA
Issued 11/28/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/07/2022
Series 7TO - General Securities Representative Examination
BC
Issued 08/21/2017
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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