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SS

Siddharth Sanjay Somani

CAPLIGHT MARKETS LLC
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 7945446
SS

Professional summary

Siddharth Sanjay Somani is a registered financial professional currently at CAPLIGHT MARKETS LLC located in San Francisco, California.

Siddharth Sanjay is registered as a RR (Registered Representative) and started their career in finance in 2025. Siddharth Sanjay has worked at 2 firms and has passed the Series 63, Series 86, Series 87, Series 7TO and SIE 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) - BD

Click below to view Siddharth Sanjay Somani's CRS (Customer Relationship Summary).
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

February 27, 2026 - Present

CAPLIGHT MARKETS LLC

Office #1: 531 Howard Street 4th Floor, San Francisco, CA 94105
BD
CRD#: 103970
San Francisco, CA
Past

August 4, 2025 - February 12, 2026

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
SALT LAKE CITY, UT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
California
(2/27/2026)
RR
Connecticut
(2/27/2026)
RR
New Jersey
(2/27/2026)
RR
New York
(2/27/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/13/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 10/6/2025
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 8/16/2025
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7TO
Date: 8/4/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/26/2025
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPLIGHT MARKETS LLC
CAPLIGHT MARKETS LLC | PROSPERO CAPITAL LLC

CRD#: 103970 / SEC#: , 8-52440

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
531 Howard Street 4th Floor, San Francisco, CA 94105
Mailing Address
531 Howard Street 4th Floor, San Francisco, CA 94105
Phone number
(917) 456-2371
Established
Connecticut since 01/14/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPLIGHT TECHNOLOGIESOWNER
AVALOS, JAVIER CHRISTIANCEO5836369
CHUNG, MICHAEL NMNFINOP, PFO, POO5739877
MERLINO, NICHOLAS JOSEPHCCO5730516

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

CAPLIGHT MARKETS LLC

CRD#: 103970San Francisco, CA 94105

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