Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sumit? Claim Your ProfileSumit Sharma is a financial advisor who has been in the industry since 2012. He is currently registered with LPL Financial LLC in Mission Viejo, California. Sumit has experience with a variety of firms, including United Planners' Financial Services of America A Limited Partner, Morgan Stanley, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, AXA Advisors, LLC, AFA Financial Group, LLC, and Purshe Kaplan Sterling Investments. Sumit is a Certified Financial Planner and has passed the Series 63, Series 65, and Series 7 exams. His specializations include investment advisory services, portfolio management, financial planning, and consulting services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
02/20/2024 - Present
LPL Financial LLC (MISSION VIEJO CA)
CA
07/05/2022 - 03/14/2024
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (LOS ANGELES CA)
CA
02/03/2021 - 09/29/2021
MORGAN STANLEY (Newport Beach CA)
CA
11/26/2018 - 10/30/2020
CITIGROUP GLOBAL MARKETS INC. (NORTH HILLS CA)
CA
10/09/2018 - 11/15/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LAKE FOREST CA)
CA
03/26/2012 - 10/15/2018
AXA ADVISORS, LLC (WOODLAND HILLS CA)
CA
07/30/2009 - 04/29/2010
AFA FINANCIAL GROUP, LLC (CALABASAS CA)
CA
02/16/2009 - 05/12/2009
PURSHE KAPLAN STERLING INVESTMENTS (LOS ANGELES CA)
IA
Issued 09/08/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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