Haren BhaktaCRD Number: 5619663
Current Firm: Hsb Capital Advisors, LLC
Haren Bhakta (CRD# 5619663) is an Investment Advisor Representative working at Hsb Capital Advisors, LLC in Santa Ana, CA and has over 9 years of experience in the finance industry.
Dorman Skorheim Wealth Management LLC
Jst Investment Consulting
|Hsb Capital Advisors, LLC||Santa Ana, CA||Oct 2017 - Current||< 1|
|Hsb Capital Management, LLC||Santa Ana, CA||Oct 2017 - Current||< 1|
|Morgan Stanley Private Bank, National Association||New York, NY||Jan 2015 - Oct 2017||2|
|Morgan Stanley Smith Barney||Santa Ana, CA||Apr 2012 - Oct 2017||5|
|Bank Of America,na||Santa Anna, CA||Oct 2010 - Apr 2012||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Santa Ana, CA||Aug 2010 - Oct 2010||< 1|
|The Prudential Insurance Company Of America||El Segundo, CA||Nov 2008 - Aug 2010||1|
|Pruco Securities, LLC||El Segundo, CA||Nov 2008 - Aug 2010||1|
|West Coast Motel||Santa Ana, CA||May 2005 - Nov 2008||3|
|Hb Hospitality||Santa Ana, CA||May 2005 - Nov 2008||3|
|Chase Suite Hotel||Fullerton, CA||Jun 2005 - Jun 2008||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2008|
|S65||NASAA Investment Advisors Law Examination||Jan 2009|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- A percentage of assets under your management
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.