Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shweta? Claim Your ProfileShweta Agarwal is a financial advisor with over 18 years of experience in the industry. Shweta is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since January 2011. Shweta previously worked at Wells Fargo Investments, LLC and Morgan Stanley DW Inc. Shweta is licensed to provide investment advice in California and Texas, and has a Series 66, Series 7, Series 31, and SIE license. Shweta specializes in providing financial planning, portfolio management, and investment consulting services to both individuals and businesses.
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.
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.
Investment consulting services to institutional clients
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
CA
02/22/2023 - Present
Wells Fargo Clearing Services, LLC (SANTA CLARA CA)
CA
10/05/2005 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SANTA CLARA CA)
NY
10/11/2004 - 08/31/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 12/07/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 10/08/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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