Uma A. Khandkar

STONEBRIAR WEALTH

Lehi, UT 84043

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CRD#: 2268663

Professional summary

Uma Ashok Khandkar, who also goes by Uma Khandkar, is a registered financial advisor currently at STONEBRIAR WEALTH, LLC located in Lehi, Utah.

Uma is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Uma has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Uma Khandkar

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Uma Ashok Khandkar'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

July 11, 2024 - Present

STONEBRIAR WEALTH, LLC

Office #1: 2600 W. Executive Parkway Suite 360, Lehi, UT 84043

RIA

CRD#: 327618

Lehi, UT

Past

January 12, 2023 - June 10, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SALT LAKE CITY, UT

Past

May 13, 2021 - June 10, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

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".

STONEBRIAR WEALTH, LLC

STONEBRIAR WEALTH | STONEBRIAR WEALTH, LLC | STONEBRIAR WEALTH ADVISORS

CRD#: 327618 / SEC#: 801-133922

RIA

Registered Investment Advisory firm - (7/21/2025 Approved)

Utah

Registered Investment Advisory firm - (11/4/2025 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

Utah
(7/11/2024)

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

IAR

Series 66

Date: 12/21/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/21/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/13/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/25/2021

Securities Industry Essentials Examination

Current Firm

STONEBRIAR WEALTH, LLC

STONEBRIAR WEALTH | STONEBRIAR WEALTH, LLC | STONEBRIAR WEALTH ADVISORS

CRD#: 327618 / SEC#: 801-133922

RIA

Registered Investment Advisory firm - (7/21/2025 Approved)

Utah

Registered Investment Advisory firm - (11/4/2025 Terminated)

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Contact information

Main Address

2600 W. Executive Parkway Suite 360, Lehi, UT 84043

Mailing Address

Phone number

(385) 314-3300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STONEBRIAR WEALTH SEC BROCHURE (6/20/2025)

Regulatory assets under management

Total Number of Accounts	310
AUM (Assets Under Management)	$ 100,000,000

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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Advisor Monitoring

Firm Stability Insights

Uma A. Khandkar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Uma Ashok Khandkar's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

STONEBRIAR WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2022

Series 63

Date: 5/21/2021

Series 7TO

Date: 5/13/2021

SIE

Date: 3/25/2021

Current Firm

STONEBRIAR WEALTH, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONEBRIAR WEALTH, LLC

TRUST BUT VERIFY

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