Sandeep Sharma

SYNTAX RESEARCH

Boca Raton, FL 33432

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CRD#: 1721253

Professional summary

Sandeep Sharma is a registered financial advisor currently at SYNTAX RESEARCH, INC. located in Boca Raton, Florida.

Sandeep is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Sandeep has worked at 4 firms and has passed the Series 63, Series 7, Series 22 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandeep Sharma's CRS (Customer Relationship Summary).

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

August 29, 2013 - Present

SYNTAX RESEARCH, INC.

Office #1: 150 East Palmetto Park Road Suite 800, Boca Raton, FL 33432

RIA

CRD#: 151948

Boca Raton, FL

Past

August 29, 2013 - December 31, 2018

SYNTAX RESEARCH, INC.

RIA

CRD#: 151948

BOCA RATON, FL

Past

August 5, 2013 - December 31, 2016

SYNTAX RESEARCH, INC.

RIA

CRD#: 151948

BOCA RATON, FL

Past

June 11, 1997 - February 7, 2000

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

August 24, 1987 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

August 24, 1987 - June 9, 1997

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

SYNTAX RESEARCH, INC.

CRD#: 151948 / SEC#: 801-76880

RIA

Registered Investment Advisory firm - (7/18/2012 Approved)

New York

Registered Investment Advisory firm - (10/31/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(8/29/2013)

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.

Exams

State Security Law Exam

Series 63

Date: 9/22/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/9/1994

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/23/1988

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/21/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SYNTAX RESEARCH, INC.

CRD#: 151948 / SEC#: 801-76880

RIA

Registered Investment Advisory firm - (7/18/2012 Approved)

New York

Registered Investment Advisory firm - (10/31/2012 Terminated)

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Contact information

Main Address

150 East Palmetto Park Road Suite 800, Boca Raton, FL 33432

Mailing Address

Phone number

(855) 796-8296

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SYNTAX ADV PART 2 FEBRUARY 2025 (2/4/2025)

Regulatory assets under management

Total Number of Accounts	227
AUM (Assets Under Management)	$ 196,609,435

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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Firm Stability Insights

Sandeep Sharma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandeep Sharma's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYNTAX RESEARCH, INC.

SYNTAX RESEARCH, INC.

COMMONWEALTH FINANCIAL NETWORK

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

SYNTAX RESEARCH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/22/1987

Series 7

Date: 9/9/1994

Series 22

Date: 2/23/1988

Series 6

Date: 8/21/1987

Current Firm

SYNTAX RESEARCH, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYNTAX RESEARCH, INC.

TRUST BUT VERIFY

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