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SY

Sanjay C. Yodh

Some features on this profile are disabled
CRD#: 4386612
SY

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.

Sanjay C Yodh, who also goes by Sanjay C. Yodh, was a registered financial professional .

Sanjay is a previously registered financial professional and started their career in finance in 2002. Sanjay had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sanjay C. Yodh

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 11, 2018 - May 24, 2021

ABERDEEN FUND DISTRIBUTORS, LLC

BD
CRD#: 146230
NEW YORK, NY
Past

September 13, 2017 - December 10, 2018

STANDARD LIFE INVESTMENTS SECURITIES LLC

BD
CRD#: 157233
New York, NY
Past

May 29, 2017 - August 22, 2017

LUCIA SECURITIES, LLC

BD
CRD#: 37179
SAN DIEGO, CA
Past

October 1, 2014 - May 28, 2015

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK, NY
Past

June 5, 2012 - September 9, 2014

PROSHARE ADVISORS LLC

RIA
CRD#: 134155
BETHESDA, MD
Past

May 30, 2012 - September 9, 2014

PROFUNDS DISTRIBUTORS, INC.

BD
CRD#: 19541
NEW YORK, NY
Past

October 23, 2009 - May 15, 2012

GUGGENHEIM DISTRIBUTORS, LLC

BD
CRD#: 40805
NEW YORK, NY
Past

October 16, 2009 - October 12, 2010

SECURITY GLOBAL INVESTORS

RIA
CRD#: 144107
SAN FRANCISCO, CA
Past

October 16, 2009 - May 15, 2012

GUGGENHEIM INVESTMENTS

RIA
CRD#: 105477
NEW YORK, NY
Past

December 26, 2008 - November 6, 2009

SECURITY DISTRIBUTORS

BD
CRD#: 3336
TOPEKA, KS
Past

July 18, 2007 - March 18, 2008

SAPENO INC.

BD
CRD#: 124769
NEW YORK, NY
Past

May 30, 2003 - May 10, 2006

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
NEW YORK, NY
Past

May 2, 2002 - May 30, 2003

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

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
IAR
Series 65
Date: 10/14/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/8/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/27/2024
General 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: 5/24/2004
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/1/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/27/2024
General Securities Principal Examination

Current Firm

AF
ABERDEEN FUND DISTRIBUTORS, LLC
ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230 / SEC#: , 8-67799

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1900 Market Street Suite 200, Philadelphia, PA 19103
Mailing Address
1900 Market Street Suite 200, Philadelphia, PA 19103
Phone number
(215) 405-5700
Established
Delaware since 10/31/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ABRDN, INC.SOLE MEMBER
DUNN, STEVEN BOYDCHIEF EXECUTIVE OFFICER2203356
HETTEL, KENDRA ANNACHIEF COMPLIANCE OFFICER6164999
KIRSCHENBLATT, CHAD ETHANCHIEF FINANCIAL OFFICER/FINOP2503352

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

ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230

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