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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Uma? Claim Your ProfileUma S Murthy is a registered investment advisor representative with Stonex Advisors Inc. Uma has been in the financial services industry for over 20 years, and has experience providing financial consulting services, financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses and individuals.
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.
Financial consulting services
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
IL
12/06/2019 - Present
Stonex Advisors Inc. (FRANKFORT IL)
CA
02/04/2004 - 12/06/2019
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
LA
10/16/2002 - 01/20/2004
PAN-AMERICAN FINANCIAL ADVISERS (NEW ORLEANS LA)
DE
01/04/2001 - 10/02/2002
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
LA
11/27/2000 - 01/02/2001
PAN-AMERICAN FINANCIAL ADVISERS (NEW ORLEANS LA)
BOTH
Issued 05/24/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/12/2007
Series 4 - Registered Options Principal Examination
BC
Issued 08/21/2006
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 12/03/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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