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RP

Roshani Pandey

TRUE ROOT FINANCIAL
San Francisco, CA
Some features on this profile are disabled
CRD#: 4746053
RP

Professional summary

Roshani Pandey is a registered financial advisor currently at TRUE ROOT FINANCIAL located in San Francisco, California.

Roshani is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Roshani has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

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.
Global Nepali Professional Network. No investment related. Remote position. Nature: professional development organization. Treasurer. Start Date: 03/07/2021. 1 to 5 hours a month during non-market hours. Duties: keep the books, keep track of payments (in-flows and out-flows).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roshani 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®
None

Experience

Current

October 20, 2020 - Present

TRUE ROOT FINANCIAL

RIA
CRD#: 310652
San Francisco, CA
Past

August 18, 2016 - June 14, 2019

BESSEMER INVESTOR SERVICES, INC.

BD
CRD#: 17442
SAN FRANCISCO, CA
Past

October 3, 2013 - April 6, 2016

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA
Past

January 23, 2004 - January 30, 2012

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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
(10/20/2020)
IAR
Virginia
(11/13/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/24/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/8/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/2004
General Securities Representative Examination

Current Firm

TR
TRUE ROOT FINANCIAL
NITARA FINANCIAL LLC | TRUE ROOT FINANCIAL, LLC | TRUE ROOT FINANCIAL LLC | TRUE ROOT FINANCIAL

CRD#: 310652 / SEC#:

California
Registered Investment Advisory firm - (10/20/2020 Approved)
Virginia
Registered Investment Advisory firm - (11/13/2023 Approved)
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Contact information

Main Address
San Francisco, CA
Mailing Address
Phone number
(202) 558-8164
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts32
AUM (Assets Under Management)$ 22,334,064

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

TRUE ROOT FINANCIAL

CRD#: 310652San Francisco, CA

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