Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sumeet? Claim Your ProfileSumeet Gupta is a financial advisor with PFS Investments Inc. based in Lake Zurich, IL. Sumeet has been working in the financial industry since March 2003. Sumeet is registered as a broker in 12 states and is a registered investment advisor in Illinois and Texas. Sumeet holds Series 6, 26, 63 and 65 securities licenses as well as the SIE designation. Sumeet specializes in providing investment advice to individuals. Sumeet's services are provided by PFS Investments Inc. and are offered on a fee-only basis.
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.
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.
A percentage of the total value of assets under management is charged.
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2
IL
10/12/2020 - Present
PFS Investments Inc. (LAKE ZURICH IL)
IA
Issued 06/09/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/18/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/18/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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