Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shobhit? Claim Your ProfileShobhit Thapar is an active financial advisor, registered with HSBC Securities (USA) Inc. based in New York, New York. Shobhit has been in the industry since 2008 and has experience with Morgan Stanley & Co. LLC and Morgan Stanley Smith Barney. Shobhit is a Series 7 and Series 63 licensed professional, and has completed the Securities Industry Essentials Examination. Shobhit is currently registered with the state of New York and New Jersey.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
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.
1
2
NY
12/11/2023 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
05/11/2010 - 08/17/2023
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
06/01/2009 - 05/11/2010
MORGAN STANLEY SMITH BARNEY (PURCHASE NY)
NY
08/14/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
BC
Issued 08/20/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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