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Sumit Singh Mahay

Morgan Stanley

Walnut Creek, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-03-18
CA RA APPROVED 2021-03-12
  • TX RA
    APPROVED
    Since 2021-03-18
  • CA RA
    APPROVED
    Since 2021-03-12

Branch Locations

1333 North California Boulevard Suite 133, Walnut Creek, CA 94596 • 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
Merriman Capital, Inc San Francisco CA 11/2013 09/2016
E*Trade Securities Llc San Francisco CA 09/2016 11/2016
E*Trade Capital Management Llc San Francisco CA 09/2016 11/2016
Ameriprise Financial Services Inc Walnut Creek CA 06/2018 02/2021
Controlco Pleasant Hill CA 03/2018 06/2018
Brothers Home Improvement, Windows And Doors Rocklin CA 06/2017 03/2018
Suraya, Inc Hercules CA 12/2016 04/2017
Morgan Stanley Walnut Creek CA 02/2021 Present
  • 11/2013 → 09/2016
    Merriman Capital, Inc
    San Francisco, CA
  • 09/2016 → 11/2016
    E*Trade Securities Llc
    San Francisco, CA
  • 09/2016 → 11/2016
    E*Trade Capital Management Llc
    San Francisco, CA
  • 06/2018 → 02/2021
    Ameriprise Financial Services Inc
    Walnut Creek, CA
  • 03/2018 → 06/2018
    Controlco
    Pleasant Hill, CA
  • 06/2017 → 03/2018
    Brothers Home Improvement, Windows And Doors
    Rocklin, CA
  • 12/2016 → 04/2017
    Suraya, Inc
    Hercules, CA
  • 02/2021 → Present
    Morgan Stanley
    Walnut Creek, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-10-15
S63 Uniform Securities Agent State Law Examination 2002-11-07
  • S65 Uniform Investment Adviser Law Examination
    2018-10-15
  • S63 Uniform Securities Agent State Law Examination
    2002-11-07
Other Names
  • Sumit Singh Mahay
  • Sumit S Mahay

View on SEC IAPD

Other Firms

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BURTON ENRIGHT WELCH
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
SAVANT WEALTH MANAGEMENT
ONE CAPITAL MANAGEMENT, LLC
ROCKEFELLER FINANCIAL LLC
OSAIC WEALTH, INC.

Other Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL
Sydney Irene Kovacs
DAVID ANTHONY ESPINEIRA
BENJAMIN ROSS PETERS
Annie Claire Klopstock
Alex Kyle Soderberg

Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

More in Walnut Creek, CA

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