Haren Bhakta, financial advisor Santa Ana CA
83 score

Haren Bhakta

CRD Number: 5619663
Current Firm: Morgan Stanley

Haren Bhakta (CRD# 5619663) is an Investment Advisor Representative working at Morgan Stanley in Santa Ana, CA and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Smith Barney Santa Ana, CA Apr 2012 - Current 4
Bank Of America,na Santa Anna, CA Oct 2010 - Apr 2012 1
Merrill Lynch, Pierce, Fenner &amp; 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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Haren Bhakta
Phone Number: 914-225-5510
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, 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, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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