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Siddharth Dubey

National Financial Services LLC

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About Siddharth Dubey

Siddharth Dubey is a financial professional registered with FINRA and has been in the industry since May 23, 2024. Siddharth Dubey is currently employed by National Financial Services LLC. Siddharth Dubey has passed the Securities Industry Essentials Examination (SIE) and the Operations Professional Examination (Series 99TO).

Firm Information

Siddharth Dubey is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

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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Siddharth Dubey’s Registration & Firm History

NY

05/24/2024 - Present

National Financial Services LLC (NEW YORK CITY NY)

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Licenses & Designations

BC

Issued 05/24/2024

Series 99TO - Operations Professional Examination

BC

Issued 03/08/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Siddharth Dubey.
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