Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rohit? Claim Your ProfileRohit Malhotra is a financial advisor with LPL Financial LLC. Rohit has been in the financial services industry since 2007 and has experience working with individuals, corporations, high-net-worth clients, pension plans, and charitable organizations. Rohit has Series 6, 7, 26, 63, and 65 licenses. Rohit is also registered as an Investment Advisor Representative in New York. Rohit has a background in banking and is also currently employed by M&T Bank. Rohit’s current role at LPL Financial LLC is dedicated to providing financial advice to clients.
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.
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2
NY
11/04/2021 - Present
LPL Financial LLC (NEW YORK NY)
NY
10/04/2018 - 06/09/2021
M&T SECURITIES, INC. (NEW YORK NY)
NY
03/28/2017 - 03/29/2018
CITI PRIVATE ADVISORY, LLC (New York NY)
NY
05/29/2007 - 03/29/2018
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
08/31/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 09/08/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 03/29/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2010
Series 7 - General Securities Representative Examination
BC
Issued 08/30/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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