Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sumana? Claim Your ProfileSumana Sermprungsuk is a financial advisor at UBS Financial Services Inc. Sumana has been in the financial services industry since 2003, and has experience working at several firms including Rockefeller Financial LLC, Raymond James & Associates, Inc., Morgan Keegan & Company, Inc., SunTrust Investment Services, Inc., RBC Capital Markets Corporation, Wachovia Securities, LLC, and Banc of America Investment Services, Inc. Sumana has passed the Series 7, Series 63, Series 79TO, and SIE exams. Sumana is registered in the state of Georgia.
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.
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.
See schedule d - miscellaneous
1
2
GA
02/24/2020 - Present
UBS Financial Services Inc. (ATLANTA GA)
GA
12/06/2018 - 08/30/2019
ROCKEFELLER FINANCIAL LLC (ATLANTA GA)
GA
02/13/2013 - 12/10/2018
RAYMOND JAMES & ASSOCIATES, INC. (ALPHARETTA GA)
GA
01/05/2010 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (ALPHARETTA GA)
GA
07/11/2008 - 01/05/2010
SUNTRUST INVESTMENT SERVICES, INC. (ATLANTA GA)
GA
05/06/2005 - 06/26/2008
RBC CAPITAL MARKETS CORPORATION (ATLANTA GA)
MO
11/04/2003 - 05/11/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
MA
03/26/2003 - 12/01/2003
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BC
Issued 04/06/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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