Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sirisomphone? Claim Your ProfileSirisomphone Thavorn is a registered investment advisor representative (IAR) with Prime Capital Financial. Sirisomphone has been in the financial services industry since 2010. Sirisomphone is licensed in California and holds the following licenses: Series 7, Series 63, Series 65, and SIE. Sirisomphone has previously worked at Foreside Fund Services, LLC and Nuveen Securities, LLC. Sirisomphone specializes in portfolio management for individuals, businesses, and pooled investment vehicles. Sirisomphone also provides financial planning, pension consulting, and educational seminars.
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.
Qualified retirement plan services, consulting services, co-advisory, selection of sub-advisors
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.
Seminar fees, promoter fees, subscription fee financial plans
1
2
CA
01/04/2023 - Present
Prime Capital Financial (PASADENA CA)
CA
07/17/2017 - 04/17/2019
FORESIDE FUND SERVICES, LLC (Newport Beach CA)
CA
04/23/2013 - 04/21/2015
NUVEEN SECURITIES, LLC (LOS ANGELES CA)
IA
Issued 08/15/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/09/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2013
Series 7 - General Securities Representative Examination
Active
Inactive
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