Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sunita? Claim Your ProfileSunita Lakhati Advaney is an investment advisor representative at Principal Asset Management, a firm with approximately $1 billion to $10 billion in assets under management. Sunita has been in the financial services industry since 2001, and holds the Series 3, 6, 7, 30 and 63 securities licenses, as well as the Series 65 investment advisor representative license. Sunita's previous experience includes roles at firms such as Princor Financial Services Corporation, Funds Distributor, LLC and Wells Fargo Funds Distributor, LLC. Sunita's specializations include portfolio management for businesses, individuals, investment companies, and pooled investment vehicles.
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.
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.
Strategic management for diversified investment portfolios.
Spread lending management and advice; asset allocation services; providing model portfolios
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.
Charge on a cost allocation basis to principal life
1
2
NY
08/08/2022 - Present
Principal Asset Management (FOREST HILLS NY)
IA
06/04/2014 - 04/13/2016
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
ME
01/17/2012 - 03/17/2014
FUNDS DISTRIBUTOR, LLC (PORTLAND ME)
NY
01/04/2010 - 12/23/2011
WELLS FARGO FUNDS DISTRIBUTOR, LLC (NEW YORK NY)
NC
11/02/2007 - 01/04/2010
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NY
10/06/2007 - 10/30/2007
DEAM INVESTOR SERVICES, INC. (NEW YORK NY)
NY
08/07/2003 - 10/30/2007
DWS SCUDDER DISTRIBUTORS, INC. (NEW YORK NY)
NY
05/30/2003 - 08/13/2003
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
NY
05/14/2001 - 05/30/2003
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
ME
02/20/2001 - 05/14/2001
ICC DISTRIBUTORS, INC. (PORTLAND ME)
IA
Issued 08/05/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2020
Series 30 - NFA Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2015
Series 3 - National Commodity Futures Examination
BC
Issued 04/13/2004
Series 7 - General Securities Representative Examination
BC
Issued 02/16/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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