Sumit Kumar

STONE LAKE WEALTH MANAGEMENT

Riverside, CT

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CRD#: 4709765

Professional summary

Sumit Kumar is a registered financial advisor currently at STONE LAKE WEALTH MANAGEMENT, LLC located in Riverside, Connecticut.

Sumit is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Sumit has worked at 7 firms and has passed the Series 65, Series 63, SIE 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 Kumar'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

June 28, 2016 - Present

STONE LAKE WEALTH MANAGEMENT, LLC

RIA

CRD#: 283554

Riverside, CT

Past

August 4, 2014 - June 9, 2016

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

August 8, 2013 - June 27, 2014

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

November 30, 2009 - March 16, 2012

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 23, 2007 - October 23, 2009

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

October 7, 2005 - August 6, 2007

MERRILL LYNCH GOVERNMENT SECURITIES INC.

CRD#: 19693

NEW YORK, NY

Past

November 25, 2003 - August 7, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Connecticut
(6/28/2016)

IAR

Texas
(2/14/2018)

IAR

Virginia
(9/18/2020)

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: 5/25/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/6/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/2003

General Securities Representative Examination

Current Firm

STONE LAKE WEALTH MANAGEMENT, LLC

CRD#: 283554 / SEC#:

Connecticut

Registered Investment Advisory firm - (6/27/2016 Approved)

Texas

Registered Investment Advisory firm - (3/29/2018 Approved)

Virginia

Registered Investment Advisory firm - (9/18/2020 Approved)

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Contact information

Main Address

Riverside, CT

Mailing Address

Phone number

(203) 340-0251

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	91
AUM (Assets Under Management)	$ 43,350,000

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.

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Advisor Monitoring

Firm Stability Insights

Sumit Kumar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

NATWEST MARKETS SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

BNP PARIBAS SECURITIES CORP.

MERRILL LYNCH GOVERNMENT SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 5/25/2016

Series 63

Date: 10/6/2003

SIE

Date: 6/9/2016

Series 7

Date: 11/24/2003

Current Firm

STONE LAKE WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STONE LAKE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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