Sumit Agarwal

PROSHARE ADVISORS

Belle Mead, NJ

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CRD#: 5815412

Professional summary

Sumit Agarwal, who also goes by Sam Agarwal, Sumit K Agarwal, Sumit Kumar Agarwal, is a registered financial advisor currently at PROSHARE ADVISORS LLC located in Belle Mead, New Jersey and PROFUNDS DISTRIBUTORS, INC. located in West Chester, Pennsylvania.

Sumit is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. 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

Sam Agarwal | Sumit K Agarwal | Sumit Kumar Agarwal

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 Agarwal'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

March 30, 2026 - Present

PROSHARE ADVISORS LLC

RIA

CRD#: 134155

Belle Mead, NJ

Current

March 30, 2026 - Present

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

WEST CHESTER, PA

Past

September 13, 2024 - January 13, 2026

PRINCIPAL ASSET MANAGEMENT

RIA

CRD#: 109002

Grandview Heights, OH

Past

December 11, 2023 - January 13, 2026

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

Stamford, CT

Past

July 16, 2014 - November 20, 2023

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

June 18, 2013 - June 24, 2014

CALVERT INVESTMENT DISTRIBUTORS, INC.

CRD#: 37527

BETHESDA, MD

Past

September 30, 2011 - April 18, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

SOMERSET, NJ

Past

August 25, 2010 - November 19, 2010

HENNION & WALSH, INC.

CRD#: 25766

PARSIPPANY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROSHARE ADVISORS LLC

PROSHARE ADVISORS LLC | XTRASHARE ADVISORS LLC

CRD#: 134155 / SEC#: 801-64181

RIA

Registered Investment Advisory firm - (4/14/2005 Approved)

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.

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

Delaware
(3/30/2026)

District of Columbia
(3/30/2026)

Maryland
(3/30/2026)

IAR

Maryland
(3/30/2026)

New Jersey
(3/30/2026)

Virginia
(3/30/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/7/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PROSHARE ADVISORS LLC

PROSHARE ADVISORS LLC | XTRASHARE ADVISORS LLC

CRD#: 134155 / SEC#: 801-64181

RIA

Registered Investment Advisory firm - (4/14/2005 Approved)

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Contact information

Main Address

7272 Wisconsin Avenue 21st Floor, Bethesda, MD 20814

Mailing Address

Phone number

(240) 497-6400

Established

Firm type

Fiscal year end

# of Employees

104

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	131
AUM (Assets Under Management)	$ 74,000,000,000

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 Agarwal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PROSHARE ADVISORS LLC

PROFUNDS DISTRIBUTORS, INC.

PRINCIPAL ASSET MANAGEMENT

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PROFUNDS DISTRIBUTORS, INC.

CALVERT INVESTMENT DISTRIBUTORS, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

HENNION & WALSH, INC.

Primary Firm SEC Registration

PROSHARE ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/7/2024

Series 63

Date: 12/1/2010

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2010

FINRA

Current Firm

PROSHARE ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

PROSHARE ADVISORS LLC

TRUST BUT VERIFY

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