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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Surajit? Claim Your ProfileSurajit Ghosh is a financial advisor with over 14 years of experience in the industry. Surajit is currently a Registered Representative and Investment Advisor Representative with Rockefeller Financial LLC, where they provide financial advice and portfolio management services to individuals, families, and businesses. Prior to joining Rockefeller Financial LLC, Surajit worked for Morgan Stanley for 14 years. Surajit holds a variety of licenses and certifications, including the Series 3, 7, 9, 10, 23, 24, 66, 79, and SIE exams. Surajit is also a Registered Investment Advisor in New Jersey. Surajit specializes in providing financial planning, investment management, and retirement planning services.
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.
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2
NY
06/19/2024 - Present
Rockefeller Financial LLC (NEW YORK NY)
NY
06/01/2009 - 09/13/2023
MORGAN STANLEY (NEW YORK NY)
NY
04/06/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 12/18/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 12/08/2010
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 08/27/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/26/2009
Series 9 - General Securities Sales Supervisor - Options Module 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 04/21/2010
Series 3 - National Commodity Futures Examination
BC
Issued 04/03/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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