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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shashi? Claim Your ProfileShashi Vivek Bhatia is a financial advisor registered with Morgan Stanley and has been working in the financial industry since August 2006. Shashi Bhatia holds the Series 7, Series 63 and Series 66 licenses, as well as the SIE exam certification. Shashi Bhatia's previous experience includes working as a financial advisor at UBS Financial Services Inc. and Wells Fargo Clearing Services, LLC.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/09/2022 - Present
Morgan Stanley (Menlo Park CA)
CA
06/28/2017 - 01/10/2022
UBS FINANCIAL SERVICES INC. (LOS GATOS CA)
CA
08/11/2015 - 02/22/2017
WELLS FARGO CLEARING SERVICES, LLC (SAN JOSE CA)
IL
04/24/2012 - 02/28/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SCHAUMBURG IL)
IL
09/05/2007 - 04/13/2012
RBC CAPITAL MARKETS, LLC (VERNON HILLS IL)
IL
10/16/2006 - 09/14/2007
HARRIS INVESTOR SERVICES, INC. (BUFFALO GROVE IL)
IL
03/09/2006 - 10/13/2006
NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)
TX
12/01/2003 - 05/02/2005
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 04/13/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/24/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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