RS
Ranjit S. Sufi
ARISTOTLE CAPITAL MANAGEMENT
Los Angeles, CA 90025-0449
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CRD#: 2963326
RS
Professional summary
Ranjit Singh Sufi is a registered financial advisor currently at ARISTOTLE CAPITAL MANAGEMENT, LLC located in Los Angeles, California and FORESIDE FINANCIAL SERVICES, LLC located in Sarasota, Florida.
Ranjit is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Ranjit has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) ARISTOTLE CAPITAL MANAGEMENT, LLC, Sarasota, FL, INVESTMENT RELATED-RIA, START DATE 08/25/2014, MANAGING DIRECTOR, INSTITUTIONAL SERVICES, 160 HOURS PER MONTH WILL ALL DURING SECURITIES TRADING HOURS;
CRS (Client Relationship Summary) - RIA
Click below to view Ranjit Singh Sufi's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 7, 2015 - Present
ARISTOTLE CAPITAL MANAGEMENT, LLC
Office #1: 11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449RIA
CRD#: 109876
Los Angeles, CA
Current
October 10, 2023 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 50 Central Avenue 7th Floor, Sarasota, FL 34236BD
CRD#: 148477
Sarasota, FL
Past
September 15, 2014 - October 24, 2023
IMST DISTRIBUTORS, LLC
BD
CRD#: 130745
Sarasota, FL
Past
June 6, 2013 - August 12, 2014
MARTIN CURRIE INVESTOR SERVICES, INC.
BD
CRD#: 39256
NEW YORK, NY
Past
December 2, 2011 - December 31, 2012
TRADEWINDS GLOBAL INVESTORS, LLC
RIA
CRD#: 138476
LOS ANGELES, CA
Past
September 1, 2011 - December 31, 2011
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
CHICAGO, IL
Past
July 31, 2008 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
RIA
CRD#: 104626
CHICAGO, IL
Past
May 29, 2008 - March 13, 2013
NUVEEN SECURITIES, LLC
BD
CRD#: 469
LAFAYETTE, CA
Past
June 8, 2000 - April 21, 2008
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC
RIA
CRD#: 104606
SAN FRANCISCO, CA
Past
November 19, 1999 - April 21, 2008
NICHOLAS-APPLEGATE SECURITIES LLC
BD
CRD#: 31205
NEW YORK, NY
Past
January 14, 1998 - October 8, 1999
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
ARISTOTLE CAPITAL MANAGEMENT, LLC
ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC
CRD#: 109876 / SEC#: 801-60014
RIA
Registered Investment Advisory firm - (2/8/2001 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/24/2023)
RR
Alaska(10/24/2023)
RR
Arizona(10/24/2023)
RR
Arkansas(10/24/2023)
IAR
California(7/7/2015)
RR
California(10/24/2023)
RR
Colorado(10/24/2023)
RR
Connecticut(10/24/2023)
RR
Delaware(10/24/2023)
RR
District of Columbia(10/24/2023)
RR
Florida(10/23/2023)
RR
Georgia(10/24/2023)
RR
Hawaii(10/24/2023)
RR
Idaho(10/24/2023)
RR
Illinois(10/24/2023)
RR
Indiana(10/24/2023)
RR
Iowa(10/24/2023)
RR
Kansas(10/24/2023)
RR
Kentucky(10/24/2023)
RR
Louisiana(10/24/2023)
RR
Maine(10/24/2023)
RR
Maryland(10/24/2023)
RR
Massachusetts(10/24/2023)
RR
Michigan(10/24/2023)
RR
Minnesota(10/24/2023)
RR
Mississippi(10/24/2023)
RR
Missouri(10/24/2023)
RR
Montana(10/24/2023)
RR
Nebraska(10/24/2023)
RR
Nevada(10/24/2023)
RR
New Hampshire(10/24/2023)
RR
New Jersey(10/24/2023)
RR
New Mexico(10/24/2023)
RR
New York(10/24/2023)
RR
North Carolina(10/24/2023)
RR
North Dakota(10/24/2023)
RR
Ohio(10/25/2023)
RR
Oklahoma(10/24/2023)
RR
Oregon(10/24/2023)
RR
Pennsylvania(10/24/2023)
RR
Puerto Rico(10/24/2023)
RR
Rhode Island(10/24/2023)
RR
South Carolina(10/24/2023)
RR
South Dakota(10/24/2023)
RR
Tennessee(3/25/2025)
RR
Texas(10/24/2023)
RR
Utah(10/24/2023)
RR
Vermont(10/24/2023)
RR
Virginia(10/24/2023)
RR
Washington(10/24/2023)
RR
West Virginia(10/24/2023)
RR
Wisconsin(10/24/2023)
RR
Wyoming(10/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ARISTOTLE CAPITAL MANAGEMENT, LLC
ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC
CRD#: 109876 / SEC#: 801-60014
RIA
Registered Investment Advisory firm - (2/8/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449
Mailing Address
Phone number
(310) 478-4005
Established
Firm type
Fiscal year end
# of Employees
156
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,904 |
| AUM (Assets Under Management) | $ 43,833,669,241 |
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.
