Sandeep Varma

ATS WEALTH MANAGEMENT

San Diego, CA 92121

Some features on this profile are disabled

CRD#: 1926613

Professional summary

Sandeep Varma is a registered financial advisor currently at ATS WEALTH MANAGEMENT located in San Diego, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Sandeep is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Sandeep has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 3 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 Varma'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

December 20, 2011 - Present

ATS WEALTH MANAGEMENT

Office #1: 5435 Oberlin Dr. Suite 200, San Diego, CA 92121

RIA

CRD#: 137705

San Diego, CA

Current

January 16, 2026 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

September 5, 2025 - January 21, 2026

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN DIEGO, CA

Past

September 5, 2025 - January 21, 2026

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SAN DIEGO, CA

Past

May 5, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

SAN DIEGO, CA

Past

May 5, 2022 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

SAN DIEGO, CA

Past

October 20, 2015 - May 6, 2022

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

SAN DIEGO, CA

Past

October 20, 2015 - May 6, 2022

FSC SECURITIES CORPORATION

CRD#: 7461

SAN DIEGO, CA

Past

December 31, 1997 - November 17, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

March 6, 1995 - November 17, 2015

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

April 24, 1990 - March 15, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 24, 1990 - March 15, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

ATS WEALTH MANAGEMENT

CRD#: 137705 / SEC#: 801-119682

RIA

Registered Investment Advisory firm - (10/23/2020 Approved)

California

Registered Investment Advisory firm - (12/13/2020 Terminated)

Texas

Registered Investment Advisory firm - (11/13/2020 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.

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
(12/20/2011)

California
(1/16/2026)

IAR

Louisiana
(4/5/2021)

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

Series 63

Date: 8/22/1991

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: 4/21/1990

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/16/1989

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

ATS WEALTH MANAGEMENT

CRD#: 137705 / SEC#: 801-119682

RIA

Registered Investment Advisory firm - (10/23/2020 Approved)

California

Registered Investment Advisory firm - (12/13/2020 Terminated)

Texas

Registered Investment Advisory firm - (11/13/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5435 Oberlin Dr. Suite 200, San Diego, CA 92121

Mailing Address

Phone number

(858) 643-5757

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

ATS WEALTH MANAGEMENT - FORM ADV PART 2A - MARCH 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 292,284,540

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.

Similar Advisors

Paul Neves

LPL FINANCIAL LLC

IAR

SAN DIEGO, CA

Alice Ruiz

SCHWAB WEALTH ADVISORY, INC.

IAR

San Diego, CA

Nilay Barefield

CETERA INVESTMENT ADVISERS LLC

IAR

San Diego, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sandeep Varma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

THE LEADERS GROUP, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ATS WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/1991

SIE

Date: 10/1/2018

Series 7

Date: 4/21/1990

Series 3

Date: 2/16/1989

FINRA

Current Firm

ATS WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ATS WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors