SP
Sripat Pandey
GLOBAL WEALTH MANAGEMENT
Kingston, NJ 08528
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CRD#: 4250947
SP
Professional summary
Sripat Pandey, who also goes by --, is a registered financial advisor currently at GLOBAL WEALTH MANAGEMENT, LLC located in Kingston, New Jersey and SATVA ADVISORS LLC located in Princeton, New Jersey.
Sripat is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Sripat has worked at 4 firms and has passed the Series 65, Series 63, Series 79, Series 72, Series 62 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
--
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.I am on the board of RBD Real Estate Inc. and some of its subsidiaries as a director in a casual advisory role and I don't own any stake, this is not investment related. These are small real estate investments for a family friend . I spent less than 1 hour a month and zero time during securities trading hours, the business address is 3 White Tail Ln, Monroe Twp, NJ 08831. I started on March 14, 2023. 2. I am on the board of a small technology company Quintype Technologies Inc. in a casual advisory role, and I own less than 2% stake, this is not investment related. I spend 1 hour a month and zero time during securities trading hours, the business address is 3 White Tail Ln, Monroe Twp, NJ 08831. I started on Feb 27, 2024. 3. I am on the board of a real estate investments business BK Media Inc. as director, also in a casual advisory role, this is not investment related. I spend less than 1 hour a month and zero time during securities trading hours, the business address is 3 White Tail Ln, Monroe Twp, NJ 08831. I started on Jan 3, 2025. 4. Satva Advisors. Investment-related. 15 Pettit Place, Princeton, NJ� 08540. NJ-Registered RIA. CCO. Start Date: June 12, 2025. 10 hours/Month. 2 Hours/During Securities Trading Hours. Oversee regulatory supervision of RIA business.
CRS (Client Relationship Summary) - RIA
Click below to view Sripat Pandey'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
April 3, 2018 - Present
GLOBAL WEALTH MANAGEMENT, LLC
Office #1: 4420 Route 27 Suite B, Kingston, NJ 08528RIA
CRD#: 153677
Kingston, NJ
Current
June 12, 2025 - Present
SATVA ADVISORS LLC
RIA
CRD#: 334053
Princeton, NJ
Past
October 19, 2012 - November 25, 2013
KROLL SECURITIES LLC
BD
CRD#: 36927
NEW YORK, NY
Past
November 28, 2000 - October 10, 2006
ICICI SECURITIES INC.
BD
CRD#: 104285
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".
GW
GLOBAL WEALTH MANAGEMENT, LLC
GLOBAL INVESTMENT MANAGEMENT, LLC | GLOBAL WEALTH MANAGEMENT, LLC
CRD#: 153677 / SEC#: 801-71368
RIA
Registered Investment Advisory firm - (4/23/2010 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
New Jersey(4/3/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 72
Date: 7/28/2003
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 62
Date: 9/9/2000
Corporate Securities Limited Representative ExaminationPrincipal/Supervisory Exam
Current Firm
GW
GLOBAL WEALTH MANAGEMENT, LLC
GLOBAL INVESTMENT MANAGEMENT, LLC | GLOBAL WEALTH MANAGEMENT, LLC
CRD#: 153677 / SEC#: 801-71368
RIA
Registered Investment Advisory firm - (4/23/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4420 Route 27 Suite B, Kingston, NJ 08528
Mailing Address
4420 Route 27, Po Box 522 Suite B, Kingston, NJ 08528
Phone number
(609) 452-2929
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 215 |
| AUM (Assets Under Management) | $ 231,149,255 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GLOBAL WEALTH MANAGEMENT, LLC
CRD#: 153677Kingston, NJ 08528TRUST BUT VERIFY
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