Sumit Agarwal is a registered investment advisor, based in Washington, DC, with 14 years of industry experience. Sumit is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Washington, DC
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Profunds Distributors, INC.
March 2026 - Present · 7 mos
Proshare Advisors LLC
March 2026 - Present · 7 mos
Profunds Distributors, INC.Broker
March 2026 - Present · 7 mos
Previous Registrations
Principal Asset Management
September 2024 - January 2026 · 1 yr 4 mos
Principal Funds Distributor, INC.Broker
December 2023 - January 2026 · 2 yrs 1 mo
Profunds Distributors, INC.Broker
July 2014 - November 2023 · 9 yrs 4 mos
Calvert Investment Distributors, INC.Broker
June 2013 - June 2014 · 1 yr
Proequities, INC.Broker
September 2011 - April 2013 · 1 yr 7 mos
Hennion & Walsh, INC.Broker
August 2010 - November 2010 · 3 mos
State Registrations5 states
DCDEMDNJVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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