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Shuvam Bhaumik

Some features on this profile are disabled
CRD#: 4697178
SB

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.

Shuvam Bhaumik was a registered financial professional .

Shuvam is a previously registered financial professional and started their career in finance in 2008. Shuvam had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

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)

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

August 14, 2019 - October 11, 2019

SPOUTING ROCK ASSET MANAGEMENT, LLC

RIA
CRD#: 150516
Bryn Mawr, PA
Past

April 23, 2018 - February 25, 2019

THIRD SEVEN ADVISORS, LLC

RIA
CRD#: 285974
NEW YORK, NY
Past

May 22, 2017 - January 3, 2018

ZT WEALTH ADVISORY

RIA
CRD#: 158972
Chelsea, MA
Past

July 12, 2016 - November 10, 2016

SHOREPOINT CAPITAL PARTNERS LLC

RIA
CRD#: 152087
NORWOOD, MA
Past

February 29, 2016 - March 28, 2016

ABERNATHY GROUP II LLC

RIA
CRD#: 152401
Chelsea, MA
Past

October 22, 2013 - September 8, 2014

FISHER INVESTMENTS

RIA
CRD#: 107342
CHELSEA, MA
Past

April 7, 2011 - February 1, 2013

MORGAN STANLEY

RIA
CRD#: 149777
BOSTON, MA
Past

December 14, 2010 - February 1, 2013

MORGAN STANLEY

BD
CRD#: 149777
BOSTON, MA
Past

September 9, 2008 - November 23, 2010

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
BOSTON, MA
Past

July 30, 2008 - August 7, 2008

BRILL SECURITIES, INC.

BD
CRD#: 18565
BOSTON, MA

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
IAR
Series 66
Date: 4/6/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/5/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/27/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/29/2008
General Securities Representative Examination

Current Firm

SR
SPOUTING ROCK ASSET MANAGEMENT, LLC
SPOUTING ROCK ASSET MANAGEMENT, LLC | SPOUTING ROCK WEALTH ADVISORS, LLC | SPOUTING ROCK FINANCIAL | SPOUTING ROCK CONSULTING

CRD#: 150516 / SEC#: 801-80642

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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
925 W. Lancaster Ave. Suite 250, Bryn Mawr, PA 19010
Mailing Address
Phone number
(610) 788-2128
Established
Firm type
Fiscal year end
# of Employees
44

Documents

Latest Form ADV

Part 2 Brochures

SPOUTING ROCK ASSET MANAGEMENT. PART 2A BROCHURE (2/1/2024)

Regulatory assets under management

Total Number of Accounts187
AUM (Assets Under Management)$ 454,972,819

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/25/2023
Cover Page
Report
06/22/2022
Cover Page
Report

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

SPOUTING ROCK ASSET MANAGEMENT, LLC

CRD#: 150516

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