SM
Sanjay Mathur
RBC CAPITAL MARKETS
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 1144243
SM
Professional summary
Sanjay Mathur, who also goes by Sanjay Mather, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Irvine, California.
Sanjay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Sanjay has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sanjay Mather
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) R.S. PARTNERS; INVESTMENT RELATED; EL CAJON CA; COMMERCIAL RENTAL PROPERTY; 100% OWNERSHIP WITH SPOUSE; START DATE = 11/22/10; 2 HOURS DEVOTED PER MONTH; NONE DURING TRADING HOURS. - (2) RS WHITEWATER, INV RELATED, EL CAJON, CA, 1% of RS Partners LP, START: 11/2010, 2 HOURS PER MONTH/0 DURING TRADNG. (3) 7E OHARA, LLC, INVT RELATED, FRISCO, TX, 90% OWNERSHIP, START DATE 7/31/2019, 0 HRS PER MONTH, 0 HRS DURING TRADING, PASSIVE INVESTOR. (4) AUTOPILOT SOFTWARE LLC; NOT INV. RELATED; 590 W Freedom Ave, Orange CA 92865; 20% OWNERSHIP; PROVICE CRM SOFTWARE FOR AUTOBODY SHOPS; START DATE 11/7/2020; Owner-Passive 0 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: NONE, PASSIVE INVESTOR. (5) NAME OF ENTITY: The Sanjay Mathur and Preeti Mathur Charitable Foundation ADDRESS: 170 Leafy Pass, Irvine CA 92602 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION : Charitable Foundation. CAPACITY Owner - Active START DATE: 06/15/15 DUTIES It is mine and my wife's charity just us run it. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Sanjay Mathur's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sanjay Mathur's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 20, 2024 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 400 Spectrum Center Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 31194
Irvine, CA
Current
March 20, 2024 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 400 Spectrum Center Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 31194
Irvine, CA
Past
April 27, 2012 - March 21, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEWPORT BEACH, CA
Past
April 27, 2012 - March 21, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEWPORT BEACH, CA
Past
June 1, 2009 - May 2, 2012
MORGAN STANLEY
RIA
CRD#: 149777
MONARCH BEACH, CA
Past
June 1, 2009 - May 2, 2012
MORGAN STANLEY
BD
CRD#: 149777
MONARCH BEACH, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
MONARCH BEACH, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
MONARCH BEACH, CA
Past
November 2, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MONARCH BEACH, CA
Past
November 17, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
MONARCH BEACH, CA
Past
May 12, 1994 - November 17, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 21, 1990 - April 29, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 24, 1983 - March 18, 1985
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Past
June 24, 1983 - October 5, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/20/2024)
RR
California(3/20/2024)
IAR
California(3/20/2024)
RR
Delaware(6/5/2024)
RR
Florida(3/20/2024)
RR
Illinois(7/24/2024)
RR
Kansas(3/20/2024)
RR
Minnesota(3/25/2024)
RR
Missouri(3/20/2024)
RR
Nevada(3/20/2024)
RR
New Jersey(3/20/2024)
RR
New York(3/20/2024)
RR
Ohio(3/20/2024)
RR
Pennsylvania(3/20/2024)
RR
Texas(3/20/2024)
IAR
Texas(3/20/2024)
RR
Virginia(3/20/2024)
RR
Washington(3/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
