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RK

Rohit Kumar

Some features on this profile are disabled
CRD#: 4135132
RK

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.

Rohit Kumar, who also goes by Roma Kumar, was a registered financial professional .

Rohit is a previously registered financial professional and started their career in finance in 2000. Rohit had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roma Kumar

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 20, 2006 - December 15, 2015

WHITE MOUNTAIN CAPITAL, LLC

BD
CRD#: 104123
NEW YORK, NY
Past

April 29, 2002 - May 29, 2002

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

July 2, 2001 - May 13, 2002

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

September 7, 2000 - November 30, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 2, 2000 - August 16, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/10/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/19/2000
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/15/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/2006
General Securities Representative Examination

Current Firm

WM
WHITE MOUNTAIN CAPITAL, LLC
WHITE MOUNTAIN CAPITAL, LLC

CRD#: 104123 / SEC#: , 8-52572

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
9521 East Bay Harbor Dr Unit 805, Bay Harbor Islands, FL 33154
Mailing Address
9521 East Bay Harbor Dr Unit 805, Bay Harbor Islands, FL 33154
Phone number
(212) 509-0313
Established
Delaware since 07/16/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MONTALBANO, PETER ANTHONYCHIEF EXECUTIVE OFFICER/GSP/SROP/MP/MEMBER2208686
TOWNLINE BEACH INCMEMBER
LOWENBERG, MICHAEL SCOTTCHIEF FINANCIAL OFFICER/FINOP/MEMBER2505584
LUCHKIW, RENEE L.CHIEF COMPLIANCE OFFICER/MEMBER4299713
MONTALBANO,EILEENMEMBER
RUMPOINT, INCMEMBER
BONAVENTURE INVESTMENTS, LPMEMBER

Disclosures

Regulatory Event2

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.

Company Information

WHITE MOUNTAIN CAPITAL, LLC

CRD#: 104123

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