Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sumit? Claim Your ProfileSumit Singh Mahay is an active investment advisor representative with Morgan Stanley. Sumit has over 18 years of experience in the financial services industry. Sumit has Series 7, 63 and 65 securities licenses and is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) as well as in 39 states. Sumit previously held roles with Ameriprise Financial, E*TRADE Securities, Merriman Capital, RBC Capital Markets, Pershing and BANC of America Securities. Sumit specializes in working with individuals, high net worth individuals, pension and profit sharing plans, corporations and other businesses, investment companies, banking or thrift institutions, charitable organizations and insurance companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/18/2021 - Present
Morgan Stanley (Walnut Creek CA)
CA
06/20/2018 - 02/10/2021
AMERIPRISE FINANCIAL SERVICES, LLC (WALNUT CREEK CA)
CA
09/20/2016 - 11/25/2016
E*TRADE SECURITIES LLC (SAN FRANCISCO CA)
NY
12/06/2013 - 09/06/2016
MERRIMAN CAPITAL, INC. (NEW YORK NY)
CA
08/12/2011 - 09/25/2013
RBC CAPITAL MARKETS, LLC (WALNUT CREEK CA)
CA
07/20/2006 - 07/21/2011
PERSHING LLC (SAN FRANCISCO CA)
CA
04/15/2004 - 07/10/2006
NATIONAL FINANCIAL SERVICES LLC (SAN FRANCISCO CA)
NY
06/11/2002 - 03/19/2004
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
IA
Issued 10/15/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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