Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roopak? Claim Your ProfileRoopak Pati is a registered representative with Oppenheimer & Co. Inc., an investment firm with a broad range of services, including financial planning, portfolio management, and pension consulting. Roopak has been in the securities industry since February 15, 2014 and has a background in investment banking. Previously, Roopak worked for Needham & Company, LLC and Moelis & Company LLC. Roopak has a Series 63, 7, 79, and 24 license.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
01/23/2019 - Present
Oppenheimer & Co. Inc. (SAN FRANCISCO CA)
CA
11/17/2015 - 01/15/2019
NEEDHAM & COMPANY, LLC (SAN FRANCISCO CA)
NY
09/29/2010 - 07/05/2012
MOELIS & COMPANY LLC (NEW YORK NY)
BC
Issued 02/08/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/01/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/2016
Series 7 - General Securities Representative Examination
BC
Issued 11/17/2015
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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