Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sony? Claim Your ProfileSony Malhotra has been in the financial services industry since 2002. Currently, Sony is registered with American Enterprise Investment Services Inc. and Ameriprise Financial Services, LLC. Sony holds Series 7, Series 24, Series 65, Series 99TO and SIE licenses.
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.
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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2
MN
08/08/2016 - Present
American Enterprise Investment Services Inc. (Minneapolis MN)
MN
03/13/2007 - 09/20/2010
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. (MINNEAPOLIS MN)
MN
07/29/2002 - 08/04/2006
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
IA
Issued 11/23/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/07/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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