Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rischi? Claim Your ProfileRischi Paul Sharma is a financial advisor with over 20 years of experience in the financial services industry. Rischi is a Certified Financial Planner™ professional, holding Series 6, 7, 24, 53, 63 and 66 licenses. Rischi is currently registered with LPL Financial LLC, a national broker-dealer and investment advisor. Rischi is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Rischi has experience working with a wide range of clients, including individuals, families, businesses, and retirement plans. Rischi specializes in financial planning, investment management, and retirement planning.
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.
Consulting and other non-discretionary advisory services
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
KY
05/25/2018 - Present
LPL Financial LLC (LEXINGTON KY)
NY
06/08/2000 - 03/07/2006
AXA ADVISORS, LLC (NEW YORK NY)
CA
10/25/1999 - 05/22/2000
INTREPID SECURITIES, INC. (TORRANCE CA)
CA
09/25/1998 - 10/29/1999
PROVIDENTIAL SECURITIES, INC. (FOUNTAIN VALLEY CA)
BOTH
Issued 07/03/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/24/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/28/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/06/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1999
Series 7 - General Securities Representative Examination
BC
Issued 05/20/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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