Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Saumya? Claim Your ProfileSaumya Swaroop is a financial professional with over 8 years of experience in the securities industry. Saumya is currently registered with CDX Advisors in New York, NY. Previously, Saumya was employed with BOFA SECURITIES, INC. and NOMURA SECURITIES INTERNATIONAL, INC. Saumya holds the Series 63, Series 79 and SIE licenses.
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.
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.
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2
NY
04/02/2024 - Present
CDX Advisors (NEW YORK NY)
NY
11/14/2019 - 02/27/2024
BOFA SECURITIES, INC. (NEW YORK NY)
NY
07/27/2015 - 07/26/2019
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
BC
Issued 07/29/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/2015
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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