Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Suraj? Claim Your ProfileSuraj Tripathy is a financial advisor with Raymond James & Associates, Inc. based in St. Petersburg, FL. Suraj has been in the industry since November 2005. Suraj holds the Series 7, 10, 24, 63, 79TO and SIE licenses and is registered with FINRA as well as in New Jersey and New York. Suraj has experience with a variety of financial services, including investment banking, securities, and financial planning. Previously, Suraj worked for BOFA Securities, Inc. in New York and Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York.
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.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
07/12/2023 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NY
05/10/2019 - 05/02/2023
BOFA SECURITIES, INC. (NEW YORK NY)
NY
11/01/2010 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/14/2005 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 10/17/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/23/2016
Series 24 - General Securities Principal 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 09/13/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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