Shummi Jindal has been an investment adviser representative at Rose Capital Advisors since March 2026, and is not listed among the firm’s executive officers or direct owners.
Rose Capital Advisors, LLC is a Miami Beach, FL firm with $608M under management, 375 clients and 9 advisers across 7 offices, as of its August 2026 filing.
- Rose Capital Advisors, LLCCurrent– present · under a yearPlandome, NY · Adviser representative · Firm CRD 173054
Investment adviser representative registrations
Shummi Jindal is registered as an investment adviser representative in New York, since March 2026.
- New YorkSince 20 March 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 20 March 2026 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Shummi P Jindal
- CRD
- 4870159
- Firm
- Rose Capital Advisors · CRD 173054
- Office
- Plandome, NY
- Registration
- Investment adviser registration
- In the industry since
- March 2026
- Disciplinary history
- Not yet shown here · SEC record
Where does Shummi Jindal work?
Shummi Jindal is an investment adviser representative registered through Rose Capital Advisors, LLC since March 2026, and is not listed among the firm’s executive officers or direct owners.
Is Shummi Jindal a financial advisor?
Yes. Shummi Jindal has a current investment-adviser registration in New York, through Rose Capital Advisors since March 2026.
How many years of experience does Shummi Jindal have?
Shummi Jindal has 0 years in the financial industry, since March 2026, across 1 adviser firm.
What exams has Shummi Jindal passed?
Shummi Jindal passed the Series 65 in March 2026.
Where is Shummi Jindal based?
Shummi Jindal’s registered office is in Plandome, NY.
Is Shummi Jindal registered with FINRA?
No. Shummi Jindal has no current broker registration.
How can I verify Shummi Jindal’s record?
Search CRD 4870159 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Shummi Jindal’s full registration record.
