SB
Sanjay Bhargava
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CRD#: 4495397
SB
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 Bhargava was a registered financial professional .
Sanjay is a previously registered financial professional and started their career in finance in 2003. Sanjay had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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)JK INVESTMENT GROUP - INSURANCE SALES - AGENT - START DATE: 03/2003 - LOCATED AT 5005 ROCKSIDE ROAD SUITE 915, INDEPENDENCE, OH 44131 - DEVOTES 10 HOURS PER MONTH. RECEIVES COMMISSION. THIS IS NOT INVESTMENT RELATED.
2)BROADMOORE LANDINGS HOA
POSITION: Treasurer NATURE: I am the Treasurer of our Home Owners Association. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 1/01/2014 ADDRESS: 7221 Boulder Wood Drive, Broadview Heights OH 44147 DESCRIPTION: I pay the HOA bills, deposit the HOA dues and provide a report at our annual meeting on outstanding dues that have not been paid. Receives no compensation.
3)DBA - JK Investment Group
4)Limited Partner in Passive Real Estate Investments. Devotes 0 hours per month. Located at 7221 Boulder Wood Drive, Broadview Heights, OH, 44147. Started on 1/1/2014. This is investment related.
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®
NoneExperience
Past
July 19, 2020 - September 30, 2024
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Independence, OH
Past
May 21, 2020 - February 2, 2023
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Independence, OH
Past
January 20, 2016 - May 13, 2020
ARBOR POINT ADVISORS
RIA
CRD#: 165127
Independence, OH
Past
April 12, 2011 - June 30, 2016
JK INVESTMENT GROUP, INC.
RIA
CRD#: 156406
INDEPENDENCE, OH
Past
February 17, 2011 - July 22, 2011
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
INDEPENDENCE, OH
Past
February 16, 2011 - May 13, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
INDEPENDENCE, OH
Past
July 14, 2004 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
INDEPENDENCE, OH
Past
January 12, 2004 - February 14, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
INDEPENDENCE, OH
Past
February 3, 2003 - December 31, 2003
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
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".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
