Rameshpreet Singh Sidhu

SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years registered in the securities industry

Current & Past Employments

Current

INSTINET, LLCCurrent·CRD# 7897

RIA

BD

Worldwide Plaza 309 West 49th Street, New York, NY, 10019

December 2, 2022 - Present

Past

ICICI SECURITIES INC.Past·CRD# 104285

BD

New York, NY

March 8, 2021 - December 3, 2022

BOC INTERNATIONAL (USA) INC.Past·CRD# 132919

BD

New York, NY

December 4, 2013 - March 10, 2021

ICICI SECURITIES INC.Past·CRD# 104285

BD

New York, NY

April 23, 2013 - December 2, 2013

RELIGARE CAPITAL MARKETS INC.Past·CRD# 153292

BD

New York, NY

May 2, 2012 - January 4, 2013

SAMSUNG SECURITIES (AMERICA), INC.Past·CRD# 43432

BD

New York, NY

June 6, 2011 - May 1, 2012

DAIWA CAPITAL MARKETS AMERICA INC.Past·CRD# 1576

BD

New York, NY

September 11, 2003 - May 16, 2011

CAZENOVE INCORPORATEDPast·CRD# 1424

BD

New York, NY

March 12, 2002 - September 10, 2003

DBS VICKERS SECURITIES (USA) INC.Past·CRD# 35691

BD

New York, NY

September 11, 2001 - March 7, 2002

PRUDENTIAL EQUITY GROUP, LLCPast·CRD# 7471

BD

New York, NY

February 26, 1999 - December 18, 2000

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SUMMIT, NJ · CRD#

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Havertown, PA · CRD#

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

INSTINET, LLC

INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.

CRD#: 7897 / SEC#: 801-108490, 8-23669

RIA

Registered Investment Advisory firm - SEC (10/26/2016 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

Worldwide Plaza 309 West 49th Street, New York, NY, 10019

Mailing Address

Worldwide Plaza 309 West 49th Street, New York, NY, 10019

Phone Number

(212) 310-9500

Established

Delaware since 06/01/2006

Firm Type

Limited Liability Company

Fiscal Year End

March

Firm Size

Medium

# of Employees

87

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Part 2 Brochures

2026 ILLC FORM ADV PART 2A (6/23/2026)

Direct owners and executive officers

Name	Position	CRD#
INSTINET HOLDINGS INCORPORATED	DIRECT OWNER	—
CHIULLI, EUGENE JAMES	CHIEF FINANCIAL OFFICER	2976702
CONE, RANDI J	CHIEF COMPLIANCE OFFICER	4811453
JOYCE, JOSEPH ANDREW	HEAD OF OPERATIONS	3123657
KENNIFF, ALICE M	ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER)	5615714
MILLIGAN, GERARD THOMAS	PRESIDENT	2907544
SCHAFFNER, CHRISTY E	PRINCIPAL FINANCIAL OFFICER	2710171
SISKOVIC, JULIE MARIE	CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2)	1385048
WEBB, FARON ROSS	GENERAL COUNSEL	2452057

Disclosures

Regulatory Event

87

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SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

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Havertown, PA · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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SUMMIT PLACE FINANCIAL ADVISORS, LLC

SUMMIT, NJ · CRD#

LPL FINANCIAL LLC

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LPL FINANCIAL LLC

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PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

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".

INSTINET, LLC

INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.

CRD#: 7897 / SEC#: 801-108490, 8-23669

RIA

Registered Investment Advisory firm - SEC (10/26/2016 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(12/2/2022)

RR

Alaska
(12/2/2022)

RR

Arizona
(12/2/2022)

RR

Arkansas
(12/2/2022)

RR

California
(12/2/2022)

RR

Colorado
(12/2/2022)

RR

Connecticut
(12/2/2022)

RR

Delaware
(12/2/2022)

RR

District of Columbia
(12/2/2022)

RR

Florida
(12/2/2022)

RR

Georgia
(12/2/2022)

RR

Hawaii
(12/2/2022)

RR

Idaho
(12/2/2022)

RR

Illinois
(12/2/2022)

RR

Indiana
(12/2/2022)

RR

Iowa
(12/2/2022)

RR

Kansas
(12/2/2022)

RR

Kentucky
(12/2/2022)

RR

Louisiana
(12/2/2022)

RR

Maine
(12/2/2022)

RR

Maryland
(12/2/2022)

RR

Massachusetts
(12/2/2022)

RR

Michigan
(12/2/2022)

RR

Minnesota
(12/2/2022)

RR

Mississippi
(12/2/2022)

RR

Missouri
(12/2/2022)

RR

Montana
(12/2/2022)

RR

Nebraska
(12/2/2022)

RR

Nevada
(12/2/2022)

RR

New Hampshire
(12/2/2022)

RR

New Jersey
(12/2/2022)

RR

New Mexico
(12/2/2022)

RR

New York
(12/2/2022)

RR

North Carolina
(12/2/2022)

RR

North Dakota
(12/2/2022)

RR

Ohio
(12/5/2022)

RR

Oklahoma
(12/2/2022)

RR

Oregon
(12/2/2022)

RR

Pennsylvania
(12/2/2022)

RR

Puerto Rico
(12/2/2022)

RR

Rhode Island
(12/2/2022)

RR

South Carolina
(12/2/2022)

RR

South Dakota
(12/2/2022)

RR

Tennessee
(12/2/2022)

RR

Texas
(12/2/2022)

RR

Utah
(12/2/2022)

RR

Vermont
(12/2/2022)

RR

Virginia
(12/2/2022)

RR

Washington
(12/2/2022)

RR

West Virginia
(12/2/2022)

RR

Wisconsin
(12/2/2022)

RR

Wyoming
(12/2/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 55 — Limited Representative-Equity Trader Exam

Passed Feb 2005

Series 7 — General Securities Representative Examination

Passed Dec 1998About the Series 7 exam

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NYSE American LLC

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NYSE National, Inc.

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NYSE Texas, Inc.

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Nasdaq Stock Market

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Nasdaq Texas, LLC

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Rameshpreet Singh Sidhu's CRS (Customer Relationship Summary).

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