Business Description

Our core business is wealth management and financial protection. We achieve this by offering our customers-individuals as well as small, mid-size and large businesses - a wide range of products and services that meet their insurance, protection, savings, investment, retirement and financial planning needs throughout their lives. Details about our products and service offerings can be found on our website.

General Information

Gender:

Male

CRD#:

5473087

States Licensed in:

NY, NJ, CT, MA, PA, DE

States Willing to do Business in:

I am open and willing to do business in all 50 states of United States.

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Prior to joining Axa Advisors as a financial advisor, I was working as Capital Markets senior business consultant on Wall Street.During this tenure I have worked with firms such as Chase Manhattan (Now JPMC), Merrill Lynch - Global Debt Markets, Citi Group Asset Management, Citi Group Derivative Markets, Wellington Management and Credit Suisse Private Bank.

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations, Charitable Organizations, Investment Clubs

Education

Academic Background

MBA (Finance major)

Services

Investment Types:

Stocks, Bonds, Annuities, Insurance, Commodities, Mutual Funds, FOREX & Currency, Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Registered Financial Consultant (RFC)

Securities Licenses:

Series 7, Series 66

Insurance and Annuity Licenses:

Annuity, Life, HMO, Health, Accident, Disability, Variable Life, Long Term Care, Variable Annuity

Financial Organization Memberships:

National Association of Insurance and Financial Advisors (NAIFA), NY Society of Security Analysts

Non-Financial Organization Memberships:

Financial Information Exchange Protocol Organization, NY/NJ SBA, BNI Manhattan

Firm Information

Number of Advisors in Office:

Over 1000 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

80 Million

Assets Managed by Firm:

$2 Trillion

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

250,000

Compensation Methods:

Hourly, Based on Assets, Subscriptions, Flat Fee, Commissions

Prepared By:

Sid Mukherjee