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Shiwani Kumari

Cetera Investment Services LLC

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About Shiwani Kumari

Shiwani Kumari is a financial advisor with Cetera Investment Services LLC. Shiwani holds the Series 7, Series 66, and Series 24 licenses, and is also a Registered Representative with FINRA. Shiwani specializes in helping individuals and families achieve their financial goals. She is committed to providing personalized financial advice and guidance.

Firm Information

Shiwani Kumari is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

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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Shiwani Kumari’s Registration & Firm History

CA

09/29/2023 - Present

Cetera Investment Services LLC (EL SEGUNDO CA)

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Licenses & Designations

BC

Issued 02/20/2024

Series 24 - General Securities Principal Examination

BC

Issued 06/27/2023

Series 7TO - General Securities Representative Examination

BC

Issued 03/01/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shiwani Kumari.
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