Individual Firm
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SHIKHA MITTRA
SHIKHA DUTT
CRD#: 2316774
IA
RETIRESMART CONSULTING, LLC.CRD#: 147693 103 CARNEGIE CENTER
SUITE 300 A
PRINCETON, NJ 08540
SUITE 300 A
PRINCETON, NJ 08540
0
Disclosures
21
Years of Experience
View By:
State Registrations
IA
New Jersey 7/25/2008
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Registered with this firm since 7/25/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/30/2002 - 09/06/2007 | PRINCETON JUNCTION, NJ |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.