Sheena A. Oberoi

WINTHROP WEALTH

SCOTTSDALE, AZ 85253

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CRD#: 5121268

Professional summary

Sheena Anne Oberoi, CFP®, who also goes by Sheena Oberoi, is a registered financial advisor currently at WINTHROP WEALTH located in Scottsdale, Arizona.

Sheena is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Sheena has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sheena Oberoi

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.

02/23/2009 - Unified Tax Services, LLC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Time spent 0% Prepare income taxes for individuals and businesses. - ADMIN ONLY. 8/12/2020 - BishopOberoi LLC - Investment Related - Scottsdale, Arizona 85260 - Real Estate Rental Ownership Entity- Started 11/01/2019 - 1 Hour Per Month/0 Hours During Securities Trading. 11/26/2024 - Sheena Oberoi PLLC/Compass Realty - Mortgage/Real Estate Services - Investment Related - 18801 N Thompson Peak Parkway Suite 100, Scottsdale. Arizona. 85255 - Start Date 11/26/2024 - 5 Hours Per Month/ 1 Hour During Trading 08/18/2020 - No Business Name - Non-Variable Insurance Producer - Investment-Related - At Reported Business Location - Start Date 08/18/2020 - Less Than 1 Hr Monthly/1Hr During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sheena Anne Oberoi's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

August 20, 2020 - Present

WINTHROP WEALTH

Office #1: 6720 N Scottsdale Road Suite 378, Scottsdale, AZ 85253

RIA

CRD#: 288178

SCOTTSDALE, AZ

Past

February 23, 2009 - December 17, 2024

LPL FINANCIAL LLC

CRD#: 6413

SCOTTSDALE, AZ

Past

September 4, 2007 - March 4, 2009

GUNNALLEN FINANCIAL, INC

CRD#: 17609

SCOTTSDALE, AZ

Past

April 12, 2007 - August 23, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

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".

WINTHROP WEALTH

CRD#: 288178 / SEC#: 801-110461

RIA

Registered Investment Advisory firm - (4/28/2017 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

Arizona
(8/20/2020)

IAR

Texas
(5/15/2023)

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: 4/30/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/3/2017

General Securities Principal Examination

Current Firm

WINTHROP WEALTH

CRD#: 288178 / SEC#: 801-110461

RIA

Registered Investment Advisory firm - (4/28/2017 Approved)

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Contact information

Main Address

321 Columbus Ave 3rd Fl, Boston, MA 02116-5168

Mailing Address

Phone number

(617) 530-1010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR WINTHROP ADVISORY GROUP, LLC (3/21/2025)

WRAP FEE BROCHURE FOR WINTHROP ADVISORY GROUP, LLC (3/20/2025)

Regulatory assets under management

Total Number of Accounts	3,872
AUM (Assets Under Management)	$ 2,600,886,145

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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Firm Stability Insights

Sheena A. Oberoi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sheena Anne Oberoi's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

GUNNALLEN FINANCIAL, INC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

WINTHROP WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 4/30/2007

SIE

Date: 10/1/2018

Series 7

Date: 4/11/2007

Series 24

Date: 11/3/2017

Current Firm

WINTHROP WEALTH

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINTHROP WEALTH

TRUST BUT VERIFY

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