Sumit Chhabra
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.
Sumit Chhabra was a registered financial professional .
Sumit is a previously registered financial professional and started their career in finance in 2002. Sumit had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2011 - October 11, 2012
U.S. FINANCIAL INVESTMENTS, INC.
June 3, 2010 - February 16, 2011
BENJAMIN & JEROLD BROKERAGE I, LLC
September 22, 2008 - March 18, 2010
BARCLAYS CAPITAL INC.
October 21, 2002 - September 22, 2008
LEHMAN BROTHERS INC.
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
U.S. FINANCIAL INVESTMENTS, INC.
CRD#: 120804 / SEC#: , 8-65347
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
