Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sanjiv? Claim Your ProfileSanjiv Kumar Jaswal has been in the financial services industry since May 19, 1996 and is currently registered with LPL Enterprise, LLC. Sanjiv Kumar Jaswal has experience in various financial service areas, including portfolio management for businesses and individuals, financial planning and conducting educational seminars. Sanjiv Kumar Jaswal is also a Certified Financial Planner and a Chartered Financial Consultant.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
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2
NY
11/14/2024 - Present
LPL Enterprise, LLC (WHITE PLAINS NY)
NY
11/18/2010 - 01/03/2013
BRYAN GARNIER SECURITIES, LLC (NEW YORK NY)
NY
10/30/2006 - 02/17/2010
SAL. OPPENHEIM JR. & CIE. SECURITIES INC. (NEW YORK NY)
NY
12/09/2002 - 10/19/2006
LOMBARD ODIER DARIER HENTSCH SECURITIES, INC. (NEW YORK NY)
NY
06/29/1998 - 09/17/2001
UBS WARBURG LLC (NEW YORK NY)
CT
09/02/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
06/03/1996 - 09/02/1997
SBC WARBURG, INC. (NEW YORK NY)
NY
04/05/1994 - 06/03/1996
S.G. WARBURG & CO. INC. (NEW YORK NY)
IA
Issued 10/29/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1998
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 04/04/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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