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SL

Sumit Laddha

STONE KEY SECURITIES LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 4688460
SL

Professional summary

Sumit Laddha is a registered financial professional currently at STONE KEY SECURITIES LLC located in Greenwich, Connecticut.

Sumit is registered as a RR (Registered Representative) and started their career in finance in 2003. Sumit has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Sumit Laddha'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

May 16, 2013 - Present

STONE KEY SECURITIES LLC

Office #1: 411 West Putnam Avenue, Greenwich, CT 06830Office #2: 411 West Putnam Avenue, Greenwich, CT 06830
BD
CRD#: 152341
Greenwich, CT
Past

October 1, 2008 - May 20, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 2, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

October 1, 2003 - June 2, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(5/16/2013)
RR
New York
(5/16/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 9/30/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SK
STONE KEY SECURITIES LLC
STONE KEY SECURITIES LLC

CRD#: 152341 / SEC#: , 8-68440

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

Main Address
411 West Putnam Avenue, Greenwich, CT 06830
Mailing Address
411 West Putnam Avenue, Greenwich, CT 06830
Phone number
(203) 930-3700
Established
Delaware since 05/18/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STONE KEY GROUP LLCSOLE MEMBER
HEDIN, EARL VICTORFINOP, CFO1976430
URFIRER, MICHAEL JAMESCHAIRMAN, CEO, EXEC. REP,1199849
WEINGARTEN, ALLEN LAWRENCECHIEF COMPLIANCE OFFICER4991149
WEINGARTEN, ALLEN LAWRENCEGENERAL COUNSEL, CHIEF OPERATIONS OFFICER

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

STONE KEY SECURITIES LLC

CRD#: 152341Greenwich, CT 06830

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