ABHISHEK KUMAR SRIVASTAVA

• Conducted thorough research and analysis of domestic and international stock markets, utilizing both technical and fundamental analysis techniques.

Developed and maintained financial models to evaluate investment opportunities, assess risk, and forecast market trends. are some potential roles and responsibilities of an Authorized Person (A.P.) in a stock brokerage:

1. Trading and Execution: I was responsible for executing trades on behalf of clients. This involves placing buy and sell orders for stocks, options, and other financial instruments in accordance with clients' instructions.

2. Client Interaction: I often interact directly with clients, providing them with information about market trends, investment opportunities, and assisting them in making informed decisions about their investment portfolios.

3. Account Management: I manage clients' brokerage accounts, ensuring that the accounts are properly maintained, accurately reflecting the trades and transactions executed, and assisting clients with any account-related issues.

4. Research and Analysis: I provide clients with research and analysis on various stocks, sectors, and market trends. This helps clients make informed investment decisions.

5. Risk Management: I understand their clients' risk tolerance and investment objectives. They should help clients create portfolios that align with their goals while managing risk appropriately.

6. Compliance and Regulations: I adhere to industry regulations and internal compliance guidelines. They should ensure that all trading activities are conducted in accordance with applicable laws and regulations.

7. Documentation and Reporting: I was responsible for maintaining accurate records of trades and transactions. They may need to generate reports for clients detailing their investment activities and performance.

8. Education and Training: I offer educational sessions or materials to clients, helping them understand investment concepts, market dynamics, and how to use trading platforms effectively.

9. Relationship Management: Building and maintaining strong relationships with clients is essential. I often serve as the main point of contact between clients and the brokerage firm.

10. Financial Planning: I offer financial planning services, helping clients create comprehensive financial plans that incorporate their investment goals, retirement planning, tax considerations, and more.

11. Market Insights: I stay updated on market news, economic trends, and global events that could impact financial markets. I provide clients with insights and advice based on this information.

Client Onboarding: I was involved in the process of onboarding new clients. This includes gathering necessary documentation, explaining account features, and assisting with initial trades.