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CS

Conal Saturno-sanjana

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CRD#: 2865852
CS
Conal Saturno-sanjana

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Conal Saturno-sanjana, who also goes by Conal Sanjana, was a registered financial professional .

Conal is a previously registered financial professional and started their career in finance in 1997. Conal had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 3, Series 55, Series 7, Series 10, Series 9, Series 4, Series 53, Series 24 and Series 8 exams.

Aliases

Conal Sanjana

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 18, 2024 - May 11, 2026

EDELMAN FINANCIAL ENGINES

RIA
CRD#: 104510
Fairfax, VA
Past

September 28, 2023 - November 29, 2024

SPIRE WEALTH MANAGEMENT, LLC

RIA
CRD#: 113908
McLean, VA
Past

September 18, 2023 - November 29, 2024

SPIRE SECURITIES, LLC

BD
CRD#: 144131
McLean, VA
Past

April 1, 2021 - September 13, 2023

GROVE POINT ADVISORS, LLC

RIA
CRD#: 313171
ROCKVILLE, MD
Past

December 7, 2016 - April 1, 2021

GROVE POINT INVESTMENTS, LLC

RIA
CRD#: 1763
Rockville, MD
Past

November 29, 2016 - September 13, 2023

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
Rockville, MD
Past

January 11, 2016 - December 1, 2016

FORESTERS ADVISORY SERVICES, LLC

RIA
CRD#: 164663
SILVER SPRING, MD
Past

January 11, 2016 - December 1, 2016

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
SILVER SPRING, MD
Past

July 21, 2014 - September 29, 2014

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
BOCA RATON, FL
Past

April 13, 2007 - September 10, 2012

CGS INTERNATIONAL SECURITIES USA, INC.

BD
CRD#: 141892
NEW YORK, NY
Past

February 15, 2000 - March 13, 2007

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
NEW YORK, NY
Past

November 10, 1998 - March 2, 2000

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

March 17, 1998 - August 4, 1998

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

BD
CRD#: 824
NEW YORK, NY
Past

March 26, 1997 - February 9, 1998

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
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".
EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/18/2014
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/27/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/27/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/9/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 12/15/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/24/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/19/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/9/2017
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/23/2009
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 1/5/1999
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)
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Contact information

Main Address
3945 Freedom Circle, Santa Clara, CA 95054
Mailing Address
Phone number
(800) 601-5957
Established
Firm type
Fiscal year end
# of Employees
1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)
EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,552,934
AUM (Assets Under Management)$ 292,902,969,770

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.

Company Information

EDELMAN FINANCIAL ENGINES

CRD#: 104510

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