Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shubham? Claim Your ProfileShubham Gupta is a financial advisor who is currently registered with RBC Capital Markets, LLC and has been in the industry since August 30, 2019. Gupta holds the Series 63, Series 24, Series 57TO, Series 7TO, and SIE licenses. Gupta has 22 approved SRO registrations, 1 approved FINRA registration, and 53 approved state registrations. Gupta is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. RBC Capital Markets, LLC is a large investment firm with over $50 billion in assets under management. The firm provides a wide range of financial services, including portfolio management, financial planning, and pension consulting.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
NY
08/31/2019 - Present
RBC Capital Markets, LLC (NEW YORK NY)
BC
Issued 12/28/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2023
Series 24 - General Securities Principal Examination
BC
Issued 07/08/2021
Series 57TO - Securities Trader Exam
BC
Issued 08/31/2019
Series 7TO - General Securities Representative Examination
BC
Issued 08/06/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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