Paramita Roy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paramita Roy was a registered financial professional .
Paramita is a previously registered financial professional and started their career in finance in 2008. Paramita had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2021 - December 6, 2024
EP WEALTH ADVISORS
May 27, 2020 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 27, 2020 - January 11, 2021
TD AMERITRADE, INC.
May 27, 2020 - January 11, 2021
TD AMERITRADE, INC.
July 13, 2018 - May 19, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 12, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
June 4, 2013 - May 4, 2020
FIDELITY BROKERAGE SERVICES LLC
April 16, 2013 - May 14, 2013
J.P. MORGAN SECURITIES LLC
April 16, 2013 - May 14, 2013
J.P. MORGAN SECURITIES LLC
June 18, 2010 - April 19, 2013
WADDELL & REED
April 21, 2010 - April 19, 2013
WADDELL & REED
February 25, 2008 - April 20, 2010
OSAIC SERVICES, INC.
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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