Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sumita? Claim Your ProfileSumita Rosario is a registered representative with Charles Schwab & CO., Inc. Sumita has over five years of experience in the financial services industry. Sumita has Series 7, Series 63 and SIE licenses and is registered in the state of New York. Previously, Sumita worked for TD Ameritrade, Inc. and Fidelity Brokerage Services LLC.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NE
03/30/2023 - Present
Charles Schwab & CO., Inc. (Omaha NE)
NE
02/24/2022 - 12/31/2023
TD AMERITRADE, INC. (OMAHA NE)
FL
09/23/2021 - 02/11/2022
FIDELITY BROKERAGE SERVICES LLC (JACKSONVILLE FL)
MO
04/02/2018 - 07/07/2021
TD AMERITRADE, INC. (ST. LOUIS MO)
BC
Issued 06/12/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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