Sumit Dhanda

VIRAJ CAPITAL

Brookline, MA

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CRD#: 4325631

Professional summary

Sumit Dhanda is a registered financial advisor currently at VIRAJ CAPITAL, LLC located in Brookline, Massachusetts.

Sumit is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Sumit has worked at 5 firms and has passed the Series 65, Series 63, Series 87, Series 86 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sumit Dhanda'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®

None

Experience

Current

September 13, 2019 - Present

VIRAJ CAPITAL, LLC

RIA

CRD#: 304730

Brookline, MA

Past

March 2, 2012 - November 15, 2013

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

CRD#: 28195

NEW YORK, NY

Past

October 21, 2010 - August 11, 2011

CITADEL SECURITIES LLC

CRD#: 116797

NEW YORK, NY

Past

January 2, 2009 - October 12, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 7, 2001 - January 2, 2009

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(9/13/2019)

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

State Security Law Exam

IAR

Series 65

Date: 6/3/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 10/15/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 10/11/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 3/6/2001

General Securities Representative Examination

Current Firm

VIRAJ CAPITAL, LLC

CRD#: 304730 / SEC#:

Massachusetts

Registered Investment Advisory firm - (9/13/2019 Approved)

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Contact information

Main Address

Brookline, MA

Mailing Address

Phone number

(646) 241-6857

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 1,606,806

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Sumit Dhanda

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sumit Dhanda's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

CITADEL SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/3/2019

Series 63

Date: 1/8/2001

Series 87

Date: 10/15/2004

Series 86

Date: 10/11/2004

Series 7

Date: 3/6/2001

Current Firm

VIRAJ CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VIRAJ CAPITAL, LLC

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