Uma Murthy is a registered investment advisor, based in Frankfort, IL, with 25 years of industry experience.
Location
Frankfort, IL
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Uma owns U-WIN Insurance Brokers LLC, selling health, life, and property & casualty insurance, dedicating a few hours per week. She also holds positions in Contract Health Services Corp, Contract Health Services LLC, and Contract Health Services II, LLC, related to medical student placement services, and works as an Investment Advisor Rep for USE Wealth, Inc.
Employment History
Current Registrations
Stonex Securities INC.Broker
Stonex Advisors INC.
Previous Registrations
Quest Capital Strategies, INC.
Quest Capital Strategies, INC.Broker
U-Win Investments INC.
Pan-American Financial AdvisersBroker
1717 Capital Management Company
1717 Capital Management CompanyBroker
Pan-American Financial AdvisersBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.