Suman Dhamija
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Suman Dhamija was a registered financial professional .
Suman is a previously registered financial professional and started their career in finance in 1994. Suman had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2010 - March 22, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 3, 2008 - November 18, 2008
GUARANTY BROKERAGE SERVICES, INC.
May 28, 2007 - June 12, 2007
WELLS FARGO INVESTMENTS, LLC
May 9, 2007 - June 12, 2007
WELLS FARGO INVESTMENTS, LLC
May 20, 2004 - May 4, 2006
WORLD GROUP SECURITIES, INC.
June 3, 2002 - June 26, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
June 3, 2002 - June 26, 2002
IDS LIFE INSURANCE COMPANY
June 3, 2002 - June 26, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
July 30, 2001 - December 12, 2001
MORGAN STANLEY DW INC.
June 21, 2000 - June 12, 2001
USALLIANZ SECURITIES, INC.
September 10, 1997 - June 16, 2000
SIGNATOR INVESTORS, INC.
November 10, 1994 - March 10, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 10, 1994 - March 10, 1997
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BBVA COMPASS INVESTMENT SOLUTIONS, INC
CRD#: 17086 / SEC#: , 8-34988
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMPASS BANK | OWNER OF COMPASS BROKERAGE, INC. | |
| BARRAZA, JUAN CARLOS | SENIOR VICE PRESIDENT | 2979487 |
| CARTEE, JOSEPH BYRON | ASSISTANT SECRETARY | |
| CHACONTISCARENO, HECTOR | DIRECTOR/CHAIRMAN OF THE BOARD/MANAGING DIR, INTERNATIONAL DIV | 2946609 |
| DELGADO, BERNARDO ALBERTO | VICE PRESIDENT | 2462176 |
| FIROZGARY, FARROKH MEHRBAN | SENIOR VICE PRESIDENT | 3263239 |
| GUERRERA, DARREN CYRIL | CFO/FINOP/VICE PRESIDENT | 2541120 |
| HAGEMANN, BRUCE ANDREW | DIRECTOR/PRESIDENT/CEO | 1922613 |
| HELMS, WILLIAM CHARLES | DIRECTOR | 4625212 |
| HERRICK, BRIAN R. | ASSISTANT SECRETARY | |
| HULVEY, DOROTHY J | COO | 5880903 |
| IBARRA, JORGE EDUARDO | SENIOR VICE PRESIDENT | 3079569 |
| KIRKNER, LORI VEREEN | VICE PRESIDENT | 1903977 |
| KNIGHT, WENDY SUSANNE | VICE PRESIDENT | 2539405 |
| LLANO, FRANCISCO MANUEL | SENIOR VICE PRESIDENT | 2751609 |
| MCMURRAY, LORIN JAMES | SENIOR VICE PRESIDENT/NATIONAL SALES MANAGER | 1719473 |
| MCROBERTS, KAREN LARSON | SENIOR VICE PRESIDENT | 2040152 |
| NEEL, DAVID SULLIVAN JR | SR. VICE PRESIDENT, CCO, SECRETARY, DIRECTOR | 1884109 |
| PRESSLEY, KIRK PAUL | TREASURER | 4714214 |
| RAMOS, MARIO A | ASSISTANT SECRETARY | |
| RODRIGUEZ, JOSE RAMON | SENIOR VICE PRESIDENT | 4392639 |
| SANCHEZ, JOAQUIN | SENIOR VICE PRESIDENT | 2708344 |
| SAWYER, JOHN EMERY IV | DIRECTOR | 2398228 |
| VIGUIER-GALLEY, ANNE-JOELLE NICOLE | SENIOR VICE PRESIDENT | 2764945 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
