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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shubh? Claim Your ProfileShubh L Sethi is an investment advisor representative with LPL Financial LLC and is licensed to provide investment advice in Florida and other states. Shubh is a registered investment advisor with both a Series 65 and Series 63 license and has been active in the financial services industry since 2021. Shubh specializes in a variety of investment strategies and can help you achieve your financial goals. Shubh's previous employers include Transamerica Financial Advisors, Inc. and World Financial Group, Inc. Shubh is a Managing Partner of TAX SWAMIS, LLC, a tax preparation and representation business. Shubh offers a variety of services to individuals, families, and businesses. These include financial planning, portfolio management, and retirement planning.
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.
Consulting and other non-discretionary advisory services
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
FL
11/27/2023 - Present
LPL Financial LLC (FORT MYERS FL)
FL
01/01/2022 - 12/04/2023
TRANSAMERICA FINANCIAL ADVISORS, INC (FORT MYERS FL)
IA
Issued 05/10/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/10/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/08/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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