Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Usha? Claim Your ProfileUsha Monique Cervantes is a financial advisor registered with LPL Financial LLC. Usha has been in the industry since March 25, 2010. Usha is also registered with the state of California and has passed a number of exams including the Series 6, Series 7, Series 26, Series 63, Series 65 and the SIE. Usha has previously worked with TRANSAMERICA FINANCIAL ADVISORS, INC and ROYAL ALLIANCE ASSOCIATES, INC. Usha Monique Cervantes is a financial advisor based in Covina, California.
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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
06/21/2024 - Present
LPL Financial LLC (COVINA CA)
CA
10/02/2014 - 06/21/2024
TRANSAMERICA FINANCIAL ADVISORS, INC (RANCHO CUCAMONGA CA)
CA
06/21/2011 - 09/19/2014
ROYAL ALLIANCE ASSOCIATES, INC. (COVINA CA)
CA
04/30/2010 - 11/11/2010
ROYAL ALLIANCE ASSOCIATES, INC. (REDLANDS CA)
MN
07/04/2002 - 03/28/2003
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
IA
Issued 05/05/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/02/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/06/2017
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2010
Series 7 - General Securities Representative Examination
BC
Issued 07/03/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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