Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Suraj? Claim Your ProfileSuraj Singh Puri is a financial advisor registered with Charles Schwab & CO., Inc. and has been in the industry since 2021. Suraj has a Series 66 license and Series 7 & SIE certifications. Suraj is located in Carlsbad, CA and has been registered with Charles Schwab & CO., Inc. since 2022. Suraj was previously registered with Dunham & Associates Investment Counsel, Inc.. Suraj has experience working with various clients including high-net-worth individuals and corporations.
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
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2
CA
06/13/2022 - Present
Charles Schwab & CO., Inc. (Irvine CA)
CA
09/15/2021 - 05/10/2022
DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. (SAN DIEGO CA)
BOTH
Issued 04/16/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/15/2021
Series 7TO - General Securities Representative Examination
BC
Issued 12/18/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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