Ajay Agrawal

AJAY AGRAWAL

FREMONT, CA 94538

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CRD#: 3110140

Professional summary

Ajay Agrawal is a registered financial advisor currently at AJAY AGRAWAL located in Fremont, California.

Ajay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Ajay has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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) AJAY AGRAWAL; NON-INVESTMENT RELATED; 38249 ALTA DRIVE, FREMONT CA 94536; RENTAL PROPERTIES; OWNER; 12/2012; APPROX. 8 HOURS PER MONTH DURING TRADING AND NON-TRADING HOURS; OWNER OF SOLE PROPRIETORSHIP MANAGING PERSONALLY OWNED PROPERTIES. 2) Ajay Agrawal serves as Managing Director of Taj Funds DBA Taj Kapital, a private investment fund engaged in Hard Money Lending and Startup Funding. The fund is organized as an LLC and is managed independently from Ajay Agrawal's registered investment advisory business. It does not involve advisory services to the same clients of the investment advisor, nor does it involve the offer or sale of securities requiring broker-dealer registration. Ajay Agrawal devotes approximately 8 hours per week during trading and non-trading hours to this activity and may receive compensation in the form of management fees, a share of income and a share of investment gains.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ajay Agrawal'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®

None

Experience

Current

January 30, 2025 - Present

AJAY AGRAWAL

Office #1: 46540 Fremont Blvd Ste 516-b, Fremont, CA 94538

RIA

CRD#: 334610

FREMONT, CA

Past

September 1, 2023 - December 25, 2024

OSAIC WEALTH, INC.

RIA

CRD#: 23131

Fremont, CA

Past

September 1, 2023 - December 25, 2024

OSAIC WEALTH, INC.

CRD#: 23131

Fremont, CA

Past

September 24, 2020 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

NEWARK, CA

Past

September 12, 2020 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

NEWARK, CA

Past

February 22, 2007 - April 17, 2020

ENVESTNET PMC

RIA

CRD#: 111694

LOS ANGELES, CA

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
(2/21/2025)

IAR

Texas
(1/30/2025)

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

Series 63

Date: 9/23/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/21/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/11/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/14/2020

Securities Industry Essentials Examination

Current Firm

AJAY AGRAWAL

AGRAWAL, AJAY | AJAY, AGRAWAL | AJAY AGRAWAL

CRD#: 334610 / SEC#:

California

Registered Investment Advisory firm - (2/21/2025 Approved)

Texas

Registered Investment Advisory firm - (1/24/2025 Conditional Restricted)

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Contact information

Main Address

46540 Fremont Blvd Ste 516-b, Fremont, CA 94538

Mailing Address

Phone number

(310) 923-2529

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Ajay Agrawal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ajay Agrawal's CRS (Customer Relationship Summary).

Certified licenses

Experience

AJAY AGRAWAL

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

ENVESTNET PMC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/23/2020

Series 65

Date: 2/21/2007

Series 7TO

Date: 9/11/2020

SIE

Date: 8/14/2020

Current Firm

AJAY AGRAWAL

Contact information

Documents

Red Flags

Company Information

AJAY AGRAWAL

TRUST BUT VERIFY

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