SP
Sandeep M. Pandya
SP ASSET MANAGEMENT LLC
Cupertino, CA 95014
Some features on this profile are disabled
CRD#: 2578444
SP
Professional summary
Sandeep Madhavlal Pandya, who also goes by Sandeep Pandya, is a registered financial advisor currently at SP ASSET MANAGEMENT LLC located in Cupertino, California.
Sandeep is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Sandeep has worked at 1 firm and has passed the Series 65 and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sandeep Pandya
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.
Name: Pandya Insurance Services LLC Investment Related: Yes Address: 20380 TOWN CENTER LN STE 205, CUPERTINO, CA 95014 Nature of Business: Insurance Firm formed to provide Life, Health and Property and Casualty Insurance Policies and Products Title and Position: President and Owner Start Date: 09/11/2019 Approx. Hours: 4 hours per month Hours During Securities trading hours: Zero Duties: Owner of Business. General supervision of business activities. Name: SP-Accolade SPV, LP Investment Related: Yes Address: 20380 TOWN CENTER LN STE 205, CUPERTINO, CA 95014 Nature of Business: Private SPV Fund invested in Venture and Private Equity Fund of Funds for Accolade Partners Title and Position: General Partner Start Date: 04/11/2022 Approx. Hours: 8 hours per month Hours During Securities trading hours: Zero Duties: General Partner. General supervision of business activities.
CRS (Client Relationship Summary) - RIA
Click below to view Sandeep Madhavlal Pandya'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®
NoneExperience
Current
June 22, 2023 - Present
SP ASSET MANAGEMENT LLC
Office #1: 20380 Town Center Lane Ste 205, Cupertino, CA 95014RIA
CRD#: 323369
Cupertino, CA
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".
SA
SP ASSET MANAGEMENT LLC
SP ASSET MANAGEMENT LLC
CRD#: 323369 / SEC#: 801-126698
RIA
Registered Investment Advisory firm - (10/6/2022 Approved)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
California(6/22/2023)
IAR
New York(7/7/2023)
IAR
Texas(6/22/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 2
Date: 1/3/1995
Non-Member General Securities ExaminationCurrent Firm
SA
SP ASSET MANAGEMENT LLC
SP ASSET MANAGEMENT LLC
CRD#: 323369 / SEC#: 801-126698
RIA
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Contact information
Main Address
20380 Town Center Lane Ste 205, Cupertino, CA 95014
Mailing Address
Phone number
(408) 257-7711
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 808 |
| AUM (Assets Under Management) | $ 1,710,556,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 02/27/2024 | ||
| 01/30/2023 |
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.
