Raj Bhatia (CRD# 1012213) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Naples, FL and has over 41 years of experience in the finance industry.
CRD# 6587916
Alpha Mode Capital LLC
CRD# 1135890
First Heartland Consultants, Inc.
CRD# 6314224
Lincoln Financial Advisors Corporation
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Naples, FL | Nov 2022 - Current | < 1 |
| Bank Of America, N.a. | Chicago, IL | Sep 2009 - Nov 2022 | 13 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago, IL | Jul 1981 - Nov 2022 | 41 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Oct 1981 |
| S65 | NASAA Investment Advisors Law Examination | Aug 1994 |
- CA
- FL
- IL
- TX
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Total Assets Under Management1,093,689MILLIONS
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Total Number of Accounts2,864,234ACCOUNTS
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Average Account Value$381,844
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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