Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Umi? Claim Your ProfileUmi Mehta is a financial advisor who is registered with Morgan Stanley & Co. LLC in California. Umi has been in the financial industry since August 2008 and has held previous roles at Bank of America Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and BMO Capital Markets Corp. Umi is a Series 7, Series 24, Series 63, Series 79, and SIE licensed professional. Umi is active in the securities industry and holds FINRA registrations.
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
CA
09/05/2019 - Present
Morgan Stanley & Co. LLC (San Francisco CA)
CA
05/10/2019 - 08/21/2019
BOFA SECURITIES, INC. (PALO ALTO CA)
CA
06/03/2010 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PALO ALTO CA)
NY
09/06/2004 - 07/05/2006
BMO CAPITAL MARKETS CORP. (NEW YORK NY)
BC
Issued 07/26/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/2010
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/03/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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