Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Surbhi? Claim Your ProfileSurbhi Gupta is a registered representative with Houlihan Lokey Capital, Inc. She is based in the firm’s New York City office and has been in the financial industry since 2008. Surbhi holds the Series 63, Series 7, Series 24, Series 79TO, and SIE licenses. She is registered to conduct business 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.
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.
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2
NY
02/13/2008 - Present
Houlihan Lokey Capital, Inc. (NEW YORK NY)
BC
Issued 03/08/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2021
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 02/12/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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