Sunita L. Advaney
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.
Sunita Lakhati Advaney, who also goes by Sunita Umesh Advaney, Sunita Lal Lakhati, was a registered financial professional .
Sunita is a previously registered financial professional and started their career in finance in 2001. Sunita had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2022 - February 28, 2025
PRINCIPAL ASSET MANAGEMENT
January 15, 2016 - February 28, 2025
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 4, 2014 - April 13, 2016
PRINCIPAL SECURITIES, INC.
January 17, 2012 - March 17, 2014
FUNDS DISTRIBUTOR, LLC
January 4, 2010 - December 23, 2011
ALLSPRING FUNDS DISTRIBUTOR, LLC
November 2, 2007 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
October 6, 2007 - October 30, 2007
DEAM INVESTOR SERVICES, INC.
August 7, 2003 - October 30, 2007
DWS DISTRIBUTORS, INC.
May 30, 2003 - August 13, 2003
DEAM INVESTOR SERVICES, INC.
May 14, 2001 - May 30, 2003
DEUTSCHE BANK SECURITIES INC.
February 20, 2001 - May 14, 2001
FORUM FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
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
PRINCIPAL ASSET MANAGEMENT
CRD#: 109002 / SEC#: 801-55959
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,399 |
| AUM (Assets Under Management) | $ 364,035,359,901 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 | ||
| 12/20/2022 |
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.
