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Soma Mishra

National Financial Services LLC

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About Soma Mishra

Soma Mishra is an active broker-dealer representative, registered with National Financial Services LLC. Soma has been in the industry for a short time, having passed the Securities Industry Essentials (SIE) and the Operations Professional Examination (Series 99TO).

Firm Information

Soma Mishra 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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Soma Mishra’s Registration & Firm History

NC

09/09/2022 - Present

National Financial Services LLC (DURHAM NC)

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Licenses & Designations

BC

Issued 09/09/2022

Series 99TO - Operations Professional Examination

BC

Issued 08/05/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Soma Mishra.
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