Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samant? Claim Your ProfileSamant Sharma is a financial advisor with over 23 years of experience in the financial services industry. Samant currently works as a Registered Representative for Merrill Lynch, Pierce, Fenner & Smith Inc. Prior to joining Merrill Lynch, Samant was a registered representative for MORGAN STANLEY DW INC. Samant specializes in financial planning, portfolio management, and pension consulting. Samant is registered to provide investment advice in a number of states, including California, Florida, Texas and Arizona. Samant is a Series 7, 31, and 63 licensed professional and holds the SIE designation. Samant has a strong commitment to providing personalized 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.
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
FL
09/06/2005 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CLEARWATER FL)
NY
01/06/2000 - 09/08/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 3/6/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/14/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/21/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 1/5/2000
Series 7 - General Securities 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
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