Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shakti? Claim Your ProfileShakti Singh Thakur is a financial professional with over 15 years of experience in the industry. Shakti is currently registered with UBS Securities LLC as a broker and has been with the firm since September 2023. Shakti has a strong background in the financial services industry, having previously worked at Credit Suisse Securities (USA) LLC, Truist Securities, Inc. and Wells Fargo Securities, LLC. Shakti holds a Series 7, Series 63, Series 79TO and SIE licenses. Shakti is licensed in all 50 states and the District of Columbia.
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
CA
09/29/2023 - Present
UBS Securities LLC (Menlo Park CA)
CA
09/20/2022 - 09/29/2023
CREDIT SUISSE SECURITIES (USA) LLC (San Francisco CA)
CA
08/23/2018 - 11/24/2020
TRUIST SECURITIES, INC. (SAN FRANCISCO CA)
CA
09/17/2007 - 08/27/2018
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
BC
Issued 09/11/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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