Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shiv? Claim Your ProfileShiv Kumar Sethi is an investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Shiv has been in the industry since October 22, 2019. Shiv holds Series 7TO, Series 63 and Series 65 licenses. Shiv has a total of 39 approved state securities registrations and 3 approved state investment advisor registrations. In addition to the securities industry, Shiv is a Board Member at the August Wilson African American Cultural Center and an Advisory Board Member of the Pittsburgh Symphony Orchestra. Shiv is also an Advisory Board Member of the Lincoln Center for the Performing Arts.
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
PA
06/30/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PITTSBURGH PA)
PA
10/18/2019 - 03/19/2020
J.P. MORGAN SECURITIES LLC (Pittsburgh PA)
IA
Issued 6/27/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/18/2019
Series 7TO - General Securities Representative Examination
BC
Issued 9/28/2019
SIE - Securities Industry Essentials 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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