Sanjiv K. Jaswal
LPL ENTERPRISE
White Plains, NY 10601
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CRD#: 2460160
Professional summary
Sanjiv Kumar Jaswal, CFP®, ChFC®, CLU® is a registered financial advisor currently at LPL ENTERPRISE, LLC located in White Plains, New York.
Sanjiv is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Sanjiv has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 16 and Series 7 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) 09/20/2024- Pacific Life & Annuity Company- Agent of Record and occasional New Business- Non-Variable Insurance- INV Related- White Plains, NY- Start Date 02/12/2024- 1hrs/mth- 1hrs during trading 2) 09/06/2024- Estate Planning Council of Westchester County- Regular Board Member assisting with membership- Non-Profit Board Member- Not INV Related- White Plains, NY- Start Date 07/01/2022- 2hrs/mth- 0hrs during trading 3) 09/06/2024- Larchmont Chamber of Commerce- Director of Membership- Non-Profit- Not INV Related- White Plains, NY- Start Date 12/09/2022- 1hrs/mth- 0hrs during trading 4)11/14/2024-SJ Insurance and Financial Services-DBA for LPL Business (entity for LPL business)-Inv Related-At reported business location(s)-Start date 06/04/2020-80hrs/mth-80hrs/mth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Sanjiv Kumar Jaswal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sanjiv Kumar Jaswal'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®
CFP®
Start date: 2015
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 360 Hamilton Ave 9th Floor, White Plains, NY 10601RIA
BD
CRD#: 8733
White Plains, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 360 Hamilton Ave 9th Floor, White Plains, NY 10601RIA
BD
CRD#: 8733
White Plains, NY
Past
December 5, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
White Plains, NY
Past
February 19, 2013 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
White Plains, NY
Past
November 18, 2010 - January 3, 2013
BRYAN GARNIER SECURITIES, LLC
BD
CRD#: 152528
NEW YORK, NY
Past
October 30, 2006 - February 17, 2010
SAL. OPPENHEIM JR. & CIE. SECURITIES INC.
BD
CRD#: 23449
NEW YORK, NY
Past
December 9, 2002 - October 19, 2006
LOMBARD ODIER DARIER HENTSCH SECURITIES, INC.
BD
CRD#: 46046
NEW YORK, NY
Past
June 29, 1998 - September 17, 2001
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
June 3, 1996 - September 2, 1997
SBC WARBURG, INC.
BD
CRD#: 23745
NEW YORK, NY
Past
April 5, 1994 - June 3, 1996
S.G. WARBURG & CO. INC.
BD
CRD#: 1483
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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(11/14/2024)
RR
California(11/14/2024)
RR
Connecticut(11/14/2024)
IAR
Connecticut(11/14/2024)
RR
Delaware(10/27/2025)
RR
Florida(11/18/2024)
RR
Georgia(11/14/2024)
RR
Illinois(8/20/2025)
RR
Kansas(11/14/2024)
RR
Louisiana(11/14/2024)
RR
Maryland(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
Nevada(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
Ohio(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Rhode Island(11/4/2025)
RR
Virginia(11/14/2024)
RR
Washington(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
