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Rohit Upadhyay

Cetera Advisors LLC

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About Rohit Upadhyay

Rohit Upadhyay is a financial professional with a background in the securities industry. Rohit is currently registered with Cetera Advisors LLC and Cetera Financial Specialists LLC. Rohit is a Series 7, Series 24 and SIE exam holder. Rohit has been in the industry since 2024.

Firm Information

Rohit Upadhyay is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Rohit Upadhyay’s Registration & Firm History

CA

03/25/2024 - Present

Cetera Advisors LLC (EL SEGUNDO CA)

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Licenses & Designations

BC

Issued 07/23/2024

Series 24 - General Securities Principal Examination

BC

Issued 03/11/2024

Series 7TO - General Securities Representative Examination

BC

Issued 08/10/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rohit Upadhyay.
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