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Sandeep Dutta

Charles Schwab & CO., Inc.

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About Sandeep Dutta

Sandeep Dutta is an active investment advisor representative with Charles Schwab & CO., Inc.. Sandeep has worked in the financial services industry for over 27 years. Prior to joining Charles Schwab & CO., Inc., Sandeep was an investment advisor representative at TD AMERITRADE, INC.. Sandeep holds FINRA Series 7, 9, 10, 62, and 66 licenses. Sandeep is registered to provide investment advisory services in California, Connecticut, Florida, Maryland, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, South Carolina, Texas, Virginia, and Washington. Sandeep also owns a rental property business called ACDD Realty LLC.

Firm Information

Sandeep Dutta is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Sandeep Dutta’s Registration & Firm History

NY

01/26/2022 - Present

Charles Schwab & CO., Inc. (Garden City NY)

NY

02/26/2018 - 07/29/2024

TD AMERITRADE, INC. (Garden City NY)

NY

02/06/2017 - 02/26/2018

SCOTTRADE, INC. (STATEN ISLAND NY)

NY

11/03/2015 - 12/09/2016

RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)

NY

02/18/2005 - 10/26/2015

TD AMERITRADE, INC. (FOREST HILLS NY)

CA

02/10/2004 - 01/31/2005

WM FINANCIAL SERVICES, INC. (IRVINE CA)

NY

01/15/2002 - 02/05/2004

MURPHY & DURIEU (NEW YORK NY)

NY

01/02/2002 - 01/17/2002

FAHNESTOCK & CO. INC. (NEW YORK NY)

NY

06/09/2000 - 01/02/2002

JOSEPHTHAL & CO., INC. (NEW YORK NY)

NY

10/16/1996 - 06/15/2000

CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)

NJ

01/01/1996 - 09/10/1996

INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)

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Licenses & Designations

BOTH

Issued 05/20/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/16/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/09/2006

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 08/17/2006

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/30/1999

Series 7 - General Securities Representative Examination

BC

Issued 12/20/1995

Series 62 - Corporate Securities Limited Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Sandeep Dutta.
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