Sumit Sharma

Current Employers

Employment History

• 03/2012 → 09/2018
  Axa Advisors, Llc
  New York, NY
• 10/2018 → 11/2018
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mission Viejo, CA
• 10/2018 → 11/2018
  Bank Of America N.A.
  Mission Viejo, CA
• 11/2018 → 10/2020
  Citigroup
  Nordhoff, CA
• 01/2021 → 09/2021
  Morgan Stanley
  Newport Beach, CA
• 04/2012 → 10/2018
  Axa Advisors, Llc
  Woodland Hills, CA
• 10/2018 → 11/2018
  Bank Of America
  Mission Viejo, CA
• 11/2018 → 10/2020
  Citibank
  Northridge, CA
• 01/2022 → 04/2022
  Deloitte
  Costa Mesa, CA
• 04/2022 → 06/2022
  Falcon Wealth Planning, Inc
  Irvine, CA
• 04/2022 → 06/2022
  Falcon Wealth Planning, Inc.
  Irvine, CA
• 10/2021 → 12/2021
  Unemployed
  Costa Mesa, CA
• 07/2022 → 02/2024
  United Planners Financial Servics
  Scottsdale, AZ
• 02/2024 → Present
  Lpl Financial
  Mission Viejo, CA

Previous Registrations

• 2022-07-05 → 2024-03-14
  United Planners' Financial Services Of America A Limited Partner
  Scottsdale, AZ
  Sherman Oaks, CA
• 2022-05-18 → 2022-06-15
  Falcon Wealth Planning, Inc.
  Irvine, CA
  Ontario, CA
• 2021-02-03 → 2021-09-29
  Morgan Stanley
  Newport Beach, CA
• 2018-11-26 → 2020-10-30
  Citigroup Global Markets Inc.
  North Hills, CA
  La Canada-Flintridge, CA
  Ft Lauderdale, FL
  Northridge, CA
  Newbury Park, CA
  Fort Mill, SC
  San Fernando, CA
  Fresno, CA
• 2018-10-09 → 2018-11-15
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mission Viejo, CA
  Lake Forest, CA
• 2014-09-11 → 2018-10-15
  Equitable Advisors, Llc
  Woodland Hills, CA

Other Businesses

1) 2024-02-16 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Pence Financial Group - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2024-02-13 - 160hrs/mth - 8hrs/mth during trading 2) 2026-05-04 - UCLA Extension - Teacher Paid by School or University - N - Los Angeles CA - 2026-04-07 - 12hrs/mth - 0hrs/mth during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-09-08
• S63 Uniform Securities Agent State Law Examination
  2009-02-26

Designations