Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sapna? Claim Your ProfileSapna Mahalingham is a registered representative with Wells Fargo Clearing Services, LLC. Sapna has been working in the financial services industry since 2017. She has held previous positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wells Fargo Bank, NA. Sapna holds Series 6, 7, 63, and 66 securities licenses. Sapna is registered in Florida, Georgia, Kentucky, Michigan, North Carolina, South Carolina, Tennessee, Texas, and Virginia. Sapna specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for individuals and businesses.
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.
Investment consulting services to institutional clients
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
NC
06/17/2024 - Present
Wells Fargo Clearing Services, LLC (RALEIGH NC)
NC
03/20/2023 - 06/27/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHAPEL HILL NC)
NC
02/08/2017 - 02/03/2023
WELLS FARGO CLEARING SERVICES, LLC (CHAPEL HILL NC)
BOTH
Issued 03/06/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/19/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/06/2018
Series 7 - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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