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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sujatha? Claim Your ProfileSujatha Ravikumar is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. She has been in the industry since March 31, 2006 and has a wide range of experience with firms such as J.P. Morgan Securities LLC, Morgan Stanley, Wells Fargo Advisors, LLC, and Wells Fargo Investments, LLC. Sujatha holds both Series 66 and Series 7 licenses. Sujatha is registered to provide investment advice in California and Texas and is a member of FINRA. Sujatha specializes in portfolio management for individuals and businesses, as well as 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
12/20/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GOLETA CA)
CA
05/20/2016 - 12/19/2017
J.P. MORGAN SECURITIES LLC (CUPERTINO CA)
CA
10/23/2012 - 05/25/2016
MORGAN STANLEY (CUPERTINO CA)
CA
01/03/2011 - 10/03/2012
WELLS FARGO ADVISORS, LLC (CUPERTINO CA)
CA
03/13/2006 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (CUPERTINO CA)
BOTH
Issued 07/05/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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