Sandeep M. Pandya
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sandeep Madhavlal Pandya's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 22, 2023 - Present
SP ASSET MANAGEMENT LLC
Office #1: 20380 Town Center Lane Ste 205, Cupertino, CA 95014Primary Firm SEC Registration
SP ASSET MANAGEMENT LLC
CRD#: 323369 / SEC#: 801-126698
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/22/2023)
(7/7/2023)
(6/22/2023)
Exams
Series 2
Date: 1/3/1995
Non-Member General Securities ExaminationCurrent Firm
SP ASSET MANAGEMENT LLC
CRD#: 323369 / SEC#: 801-126698
Contact information
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.
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