Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roya? Claim Your ProfileRoya Pour Ghavami is a registered investment advisor representative and holds a Series 3, Series 7, Series 9, Series 10, Series 24, Series 63, and Series 65 license. Roya has over 29 years of experience in the industry, having worked at several firms including Citigroup Global Markets Inc., CitiCorp Investment Services, Prudential Securities Incorporated, Kidder, Peabody & Co. Incorporated, Morgan Stanley & Co. Incorporated, and Morgan Stanley Smith Barney. Roya is currently employed with Morgan Stanley, based in the Purchase, NY office.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
NY
06/01/2009 - Present
Morgan Stanley (Purchase NY)
NY
07/24/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
05/29/2007 - 08/02/2007
CITIGROUP GLOBAL MARKETS INC. (LONG ISLAND CITY NY)
NY
08/26/2002 - 05/29/2007
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
03/29/2001 - 04/19/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/05/1995 - 12/20/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/29/1992 - 11/22/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 01/13/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/30/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/20/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/29/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2008
Series 3 - National Commodity Futures Examination
BC
Issued 07/27/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Roya Ghavami is the right advisor for you? Invested Better is here to help.
