Sunandan K. Clerk

DHAMMA CAPITAL

Walnut Creek, CA

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CRD#: 6457600

Professional summary

Sunandan Kishorbhai Clerk, CFA, CFP® is a registered financial advisor currently at DHAMMA CAPITAL located in Walnut Creek, California.

Sunandan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Sunandan has worked at 3 firms and has passed the Series 66, 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.

Sunandan K. Clerk is a tax preparer (CRTP) registered with the California Tax Education Council. Clients are not solicited to use his tax prep services. At this time, he spends no time on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sunandan Kishorbhai Clerk'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®

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

June 17, 2019 - Present

DHAMMA CAPITAL

RIA

CRD#: 302037

Walnut Creek, CA

Past

March 8, 2018 - June 19, 2019

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

Walnut Creek, CA

Past

June 5, 2015 - August 29, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WALNUT CREEK, CA

Past

May 12, 2015 - August 29, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WALNUT CREEK, CA

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

California
(6/19/2019)

IAR

Texas
(6/17/2019)

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 66

Date: 6/5/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/29/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/2015

General Securities Representative Examination

Current Firm

DHAMMA CAPITAL

DHAMMA CAPITAL | DHAMMA CAPITAL, LLC

CRD#: 302037 / SEC#:

California

Registered Investment Advisory firm - (6/19/2019 Approved)

Texas

Registered Investment Advisory firm - (5/1/2019 Conditional Restricted)

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Contact information

Main Address

Walnut Creek, CA

Mailing Address

2872 Ygnacio Valley Rd. #455, Walnut Creek, CA 94598

Phone number

(925) 385-8717

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	133
AUM (Assets Under Management)	$ 70,827,044

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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Sunandan K. Clerk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sunandan Kishorbhai Clerk's CRS (Customer Relationship Summary).

Certified licenses

Experience

DHAMMA CAPITAL

REGAL INVESTMENT ADVISORS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/5/2015

SIE

Date: 8/29/2017

Series 7

Date: 5/12/2015

Current Firm

DHAMMA CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DHAMMA CAPITAL

TRUST BUT VERIFY

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