Sashi Menon

MENON/BROWN ADVISORY GROUP

SAN JUAN CAPISTRANO, CA

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CRD#: 1451994

Professional summary

Sashi Menon is a registered financial advisor currently at MENON/BROWN ADVISORY GROUP located in San Juan Capistrano, California and OSAIC WEALTH, INC. located in San Juan Capistrano, California.

Sashi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Sashi has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 15 and Series 5 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. INVESTMENT ADVISORY SERVICES PROVIDED THROUGH MENON/BROWN ADVISORY GROUP AS AN INVESTMENT ADVISER REPRESENTATIVE; I AM LICENSED AND DO INSURANCE BUSINESS IN CALIFORNIA. 2. FSC Securities Corporation - Registered representative - sale of securities on a commission basis. 40 hours/ month. Investment related. 3. Banner Life Insurance Company/Transamerica Life - Agent - sale of fixed insurance products. < 5 hours/month. 4. MENON/BROWN ADVISORY GROUP POSITION: Registered Investment Advisor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 04/01/1999 ADDRESS: 30921 Via Ultimo San Juan Capistrano Ca 92675, San Juan Capistrano CA 92675, United States DESCRIPTION: Solicit new clients for fee based services. Monitor and advise existing client accounts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sashi Menon'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®

None

Experience

Current

May 26, 1999 - Present

MENON/BROWN ADVISORY GROUP

RIA

CRD#: 127508

SAN JUAN CAPISTRANO, CA

Current

November 3, 2023 - Present

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SAN JUAN CAPISTRANO, CA

Past

July 8, 1997 - August 19, 2011

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

SAN JUAN CAPISTRANO, CA

Past

August 16, 1995 - November 3, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

SAN JUAN CAPISTRANO, CA

Past

November 29, 1989 - August 16, 1995

CORPORATE BENEFIT SECURITIES, INC.

CRD#: 13975

MISSION VIEJO, CA

Past

November 15, 1988 - October 4, 1989

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

September 9, 1988 - December 9, 1988

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

CRD#: 595

Past

March 6, 1986 - September 13, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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.

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

IAR

California
(5/26/1999)

California
(11/3/2023)

Iowa
(11/3/2023)

New Jersey
(11/3/2023)

New York
(11/3/2023)

Ohio
(11/3/2023)

Tennessee
(11/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 15

Date: 2/24/1986

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 2/14/1986

Interest Rate Options Examination

SRO Registrations

FINRA

Current Firm

MENON/BROWN ADVISORY GROUP

MENON, SASHI | MENON/BROWN ADVISORY GROUP

CRD#: 127508 / SEC#:

California

Registered Investment Advisory firm - (5/26/1999 Approved)

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Contact information

Main Address

San Juan Capistrano, CA

Mailing Address

30921 Via Ultimo, San Juan Capistrano, CA 92675

Phone number

(949) 661-2097

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 13,061,839

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.

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Sashi Menon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sashi Menon's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

CORPORATE BENEFIT SECURITIES, INC.

LADENBURG THALMANN & CO. INC.

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/1999

Series 63

Date: 1/30/1986

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1986

Series 15

Date: 2/24/1986

Series 5

Date: 2/14/1986

FINRA

Current Firm

MENON/BROWN ADVISORY GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MENON/BROWN ADVISORY GROUP

TRUST BUT VERIFY

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