Shuvam Bhaumik
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2019 - October 11, 2019
SPOUTING ROCK ASSET MANAGEMENT, LLC
April 23, 2018 - February 25, 2019
THIRD SEVEN ADVISORS, LLC
May 22, 2017 - January 3, 2018
ZT WEALTH ADVISORY
July 12, 2016 - November 10, 2016
SHOREPOINT CAPITAL PARTNERS LLC
February 29, 2016 - March 28, 2016
ABERNATHY GROUP II LLC
October 22, 2013 - September 8, 2014
FISHER INVESTMENTS
April 7, 2011 - February 1, 2013
MORGAN STANLEY
December 14, 2010 - February 1, 2013
MORGAN STANLEY
September 9, 2008 - November 23, 2010
JANNEY MONTGOMERY SCOTT LLC
July 30, 2008 - August 7, 2008
BRILL SECURITIES, 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
SPOUTING ROCK ASSET MANAGEMENT, LLC
CRD#: 150516 / SEC#: 801-80642
Contact information
Regulatory assets under management
| Total Number of Accounts | 187 |
| AUM (Assets Under Management) | $ 454,972,819 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/25/2023 | ||
| 06/22/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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