Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sumeet? Claim Your ProfileSumeet Kaur Rai is a financial advisor with Sanders Morris LLC. Sumeet has over 29 years of experience in the financial services industry. Sumeet holds Series 7, 63, 66, SIE and 79TO licenses. Sumeet Kaur Rai is registered with 49 states and the District of Columbia. Sumeet also has a registration as an investment advisor representative (IAR). Sumeet is based in Houston, Texas.
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.
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TX
03/01/2013 - Present
Sanders Morris LLC (HOUSTON TX)
TX
03/19/2009 - 10/04/2010
ABSHIER WEBB DONNELLY & BAKER, INC. (HOUSTON TX)
TX
03/14/2003 - 03/17/2009
STANFORD GROUP COMPANY (HOUSTON TX)
TN
01/08/2001 - 03/19/2003
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
MO
06/30/1995 - 02/01/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NY
07/27/1993 - 07/13/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 05/31/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/30/1993
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 07/26/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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