Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ruchika? Claim Your ProfileRuchika Gupta is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in DALLAS, TX. Ruchika has been in the industry since 1999. She is a registered representative of the firm and holds several licenses including Series 6, 7, 9, 10, 63, and 65. Ruchika's previous employment includes UBS FINANCIAL SERVICES INC. and J. B. HANAUER & CO. Ruchika provides various advisory services including portfolio management for individuals and businesses, pension consulting, educational seminars, and selection of other advisors.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
10/12/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
IL
03/05/2004 - 10/08/2015
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
NJ
08/11/2003 - 01/02/2004
J. B. HANAUER & CO. (PARSIPPANY NJ)
MO
07/01/2003 - 08/07/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
06/16/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IL
03/31/1999 - 07/10/2000
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IA
Issued 07/07/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2000
Series 7 - General Securities Representative Examination
BC
Issued 03/30/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Ruchika Gupta is the right advisor for you? Invested Better is here to help.
