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Sumit Kumar

Stone Lake Wealth Management, LLC

Riverside, CT

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Current Employers
Stone Lake Wealth Management, Llc

Riverside, CT • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2020-09-18
TX RA APPROVED 2018-03-29
CT RA APPROVED 2016-06-28
  • VA RA
    APPROVED
    Since 2020-09-18
  • TX RA
    APPROVED
    Since 2018-03-29
  • CT RA
    APPROVED
    Since 2016-06-28

Branch Locations

Riverside, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stone Lake Wealth, Llc Riverside CT 04/2016 Present
  • 04/2016 → Present
    Stone Lake Wealth, Llc
    Riverside, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-05-25
S63 Uniform Securities Agent State Law Examination 2003-10-06
  • S65 Uniform Investment Adviser Law Examination
    2016-05-25
  • S63 Uniform Securities Agent State Law Examination
    2003-10-06

View on SEC IAPD

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