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Shivam Gupta

Rothschild & Co. US Inc.

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About Shivam Gupta

Shivam Gupta is a financial professional with Rothschild & Co. US Inc. located in NEW YORK, NY. Shivam Gupta holds the Series 79TO and SIE licenses. Shivam Gupta has been in the financial industry for less than one year.

Firm Information

Shivam Gupta is currently registered with Rothschild & Co. US Inc.. Rothschild & Co. US Inc. is a corporation formed in July 1967 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is regulated by the SEC and has one regulatory event on record.

Not reported

Assets Under Management

Not reported

Total Clients

91

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Shivam Gupta’s Registration & Firm History

NY

09/02/2024 - Present

Rothschild & Co. US Inc. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/01/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 05/25/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shivam Gupta.
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