Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sanjay? Claim Your ProfileSanjay Mathur is a financial professional with over 40 years of experience in the financial services industry. Sanjay currently works as a registered representative for RBC Capital Markets, LLC in Irvine, CA. Previously, Sanjay has held positions at several other prominent financial institutions, including Wells Fargo Clearing Services, LLC, Morgan Stanley Smith Barney, and Lehman Brothers Inc. Sanjay is a licensed investment advisor and holds a Series 7, Series 6, Series 26 and SIE license. Sanjay is a dedicated financial advisor who is committed to providing clients with personalized advice and guidance.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
03/20/2024 - Present
RBC Capital Markets, LLC (Irvine CA)
CA
04/27/2012 - 03/21/2024
WELLS FARGO CLEARING SERVICES, LLC (NEWPORT BEACH CA)
CA
06/01/2009 - 05/02/2012
MORGAN STANLEY SMITH BARNEY (MONARCH BEACH CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MONARCH BEACH CA)
CA
11/17/1997 - 04/02/2007
MORGAN STANLEY DW INC. (MONARCH BEACH CA)
NY
05/12/1994 - 11/17/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
09/21/1990 - 04/29/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
06/24/1983 - 10/05/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/24/1983 - 03/18/1985
FIRST INVESTORS CORPORATION
BC
Issued 06/30/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/1985
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1985
Series 7 - General Securities Representative Examination
BC
Issued 06/24/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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