Sajni D. Shah
MARINER ADVISOR NETWORK | Financial Consultant
San Jose, CA 95110
Some features on this profile are disabled
CRD#: 5197130
Professional summary
Sajni Desai Shah, who also goes by Sajni Jayesh Desai, Sajni Desai, Sajni (viki) Jayesh Desai, Sajni (viki) Desai, Sajni D Shah, Sajni Shah, is a registered financial advisor currently at MARINER ADVISOR NETWORK located in San Jose, California and LPL FINANCIAL LLC located in San Jose, California.
Sajni is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Sajni has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Biography
I have been in financial services for 20+ years. I am very passionate about helping clients identify, plan and work towards their financial goals, intended to provide them with piece of mind and more time to focus on what is most important to them.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sajni Jayesh Desai | Sajni Desai | Sajni (viki) Jayesh Desai | Sajni (viki) Desai | Sajni D Shah | Sajni Shah
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- 08/2024 / Real Estate Rental / INV RLTD / 1 HRS MNTH / START 08/19/2024 2- 08/2024 / Camino Advisors / DBA for LPL Business (entity for LPL business) / INV RLTD / 160 HRS MNTH / 8 HRS DURING TRADING / START 08/19/2024 3- 11/26/2024 - MARINER INDEPENDENT ADVISOR NETWORK, LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 08/19/2024 - 160 Hours Per Month/ 6 Hours During Trading - I provide investment advisory services through Mariner Independent Advisor Network, LLC, an independent investment advisor firm. I started this business activity in 11/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Sajni Desai Shah'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®
NoneEducation
San Jose State University Lucas School of Business
Bachelor of Business Administration - Business Management
2006
Experience
Current
November 26, 2024 - Present
MARINER ADVISOR NETWORK
Office #1: 350 W. Julian Street Building 3, San Jose, CA 95110RIA
CRD#: 283824
San Jose, CA
Current
November 25, 2024 - Present
LPL FINANCIAL LLC
Office #1: 350 W Julian St Bldg 3, San Jose, CA 95110RIA
BD
CRD#: 6413
San Jose, CA
Past
April 22, 2021 - November 26, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SAN JOSE, CA
Past
April 12, 2021 - November 26, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SAN JOSE, CA
Past
February 4, 2013 - March 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN JOSE, CA
Past
February 4, 2013 - March 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN JOSE, CA
Past
August 22, 2012 - January 4, 2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
SAN JOSE, CA
Past
June 7, 2012 - January 4, 2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
SAN JOSE, CA
Past
March 16, 2012 - May 8, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN JOSE, CA
Past
January 11, 2011 - February 29, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
SAN JOSE, CA
Past
September 20, 2006 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
LOS GATOS, CA
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".
MA
MARINER ADVISOR NETWORK
AERO CAPITAL | ZION CAPITAL WEALTH MANAGEMENT | ZION CAPITAL | YERBA BUENA FINANCIAL PARTNERS, LLC | WESTLAKE FINANCIAL MANAGEMENT | WESTERN WEALTH MANAGEMENT, INC. | WEST CAPITAL WEALTH MANAGEMENT | WEALTH VISION ADVISORS | WATERSHED WEALTH MANAGEMENT | WATCH HILL FINANCIAL, INC | WARNER WEALTH STRATEGIES | VIREN AND ASSOCIATES, INC. | VAN KESTEREN CAPITAL MANAGEMENT | UNIQUE PLANNING | UNIFIED WEALTH ADVISORS | THE FINANCIAL SERVICES NETWORK | STRATOS WEALTH PARTNERS | STRATEGIC WEALTH ADVISORS GROUP, LLC | STRATEGIC WEALTH ADVISORS GROUP, INC. | STRATEGIC WEALTH ADVISORS GROUP | STRATEGIC DIVORCE SOLUTIONS, INC. | STRATEFIC WEALTH ADVISORS GROUP, LLC | STONEBRIDGE GLOBAL INVESTMENTS | STEPHENSON COMPANY, THE | STANFORD FEDERAL CREDIT UNION | SPRAGUE WEALTH SOLUTIONS, LLC | SONOMA COUNTY WEALTH ADVISORS | SLANKSTER FINANCIAL | SIMPLIFIED WEALTH MANAGEMENT INC. | SAXE CAPITAL | SAIL FINANCIAL | ROCCO & ASSOCIATES WEALTH MANAGEMENT, INC. | RFS WEALTH ADVISORS | RETIREMENT WEALTH ADVISORS, INC. | RED TOWER ADVISORS | RASMUSSEN ADVISORS | RAHN WEALTH MANAGEMENT, LLC | PUTNAM AND MAIN WEALTH MANAGEMENT | PURPOSE FINANCIAL ADVISORS, LLC | PROVIDENCE WEALTH PLANNING, INC. | POTENTIA, INC | POTENTIA WEALTH | PARAGON FINANCIAL PLANNING | OSTDIEK FINANCIAL AND INSURANCE | OAK WEALTH MANAGEMENT, LLC | OAK TREE WEALTH MANAGEMENT | NURTURED WEALTH | NAPOLI WEALTH MANAGEMENT | MULTIGEN WEALTH SERVICES, INC. | MOSHER FINANCIAL GROUP | MISSE WEALTH MANAGEMENT | MILLS WEALTH MANAGEMENT GROUP | MERCER PARTNERS WEALTH MANAGEMENT | MCCURDY FINANCIAL SERVICES | MCCREA ALLEN | MASTER PLAN ADVISORY, INC. | MARSHALL WEALTH MANAGEMENT GROUP | MARINER INDEPENDENT ADVISOR NETWORK, LLC | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | MARC RHEINGOLD & ASSOCIATES, INC. | MACLISE GROOMS WEALTH MANAGEMENT, LLC | MACKESON ADVISORY | LIGHTHOUSE STRATEGIC ADVISORS, LLC | LEXINGTON WEALTH ADVISORS | LEGACY WEALTH PLANNING, LLC | LAURUS FINANCIAL GROUP | KLEIN INVESTMENT STRATEGIES | JSO PARTNERS | JP WEALTH MANAGEMENT | JBT FINANCIAL, LLC | INTEGRITY FINANCIAL SERVICES | INTEGRITY CAPITAL WEALTH MANAGEMENT, LLC | INTEGRATED WEALTH MANAGEMENT | IMD FINANCIAL, LLC | IDEAL FINANCIAL ADVISORS LLC | I.D.E.A.L. FINANCIAL SERVICES | HUMANITY WEALTH ADVISORS | HORG WEALTH MANAGEMENT | HICKS FINANCIAL SERVICES, LLC | HAPPINESS WEALTH MANAGEMENT | GROOMS WEALTH MANAGEMENT, LLC | GIORDANO WEALTH MANAGEMENT GROUP, LLC | FRANK DEPTOLA AND ASSOCIATES, LLC | FORONJY FINANCIAL | FISKE FINANCIAL STRATEGIES | EXECUTIVE WEALTH STRATEGIES | EQUITY DEVELOPMENT CORPORATION | EQ PRIVATE WEALTH ADVISORS | ENRICH360 WEALTH ADVISORS | ECS CAPITAL INVESTMENTS | DIME AND ASSOCIATES | DILDAY AND ASSOCIATES | DIETZ NEXTSTAGE FINANCIAL MANAGEMENT | DIAMOND GROUP WEALTH ADVISORS, THE | DALE Q. RICE INVESTMENT MANAGEMENT, LTD. | CYPRESS PRIVATE WEALTH | CROW CANYON INVESTMENTS AND FINANCIAL PLANNING | COVENANT WEALTH ADVISORS | COMMON SENSONOMICS WEALTH MANAGEMENT | COLUMBIA ADVISORY PARTNERS, LLC | COLORADO WEST INVESTMENTS, INC. | CLEARLIFE WEALTH MANAGEMENT | CLEAR VISION FINANCIAL ADVISORS | CLARITY FINANCIAL PLANNING, INC. | CAPLAN CAPITAL MANAGEMENT | CAPITAL FINANCIAL SERVICES | CAMINO ADVISORS | CAMBER WEALTH | CALIFORNIA PRIVATE WEALTH | BROWN FINANCIAL SERVICES GROUP OF TEXAS, INC. | BROWN FINANCIAL SERVICES GROUP | BROOKS WEALTH MANAGEMENT | BRIGHT WEALTH PLANNING | BLACK STONE FINANCIAL, INC. | BIG TREES WEALTH MANGEMENT | BERL FINANCIAL SERVICES | BAKER WEALTH MANAGEMENT | AWA WEALTH MANAGEMENT, LLC | ASCEND INTEGRATED WEALTH | ARAKELIAN WEALTH MANAGEMENT | AQUARIUS WEALTH MANAGEMENT, LLC | ANACORTES FINANCIAL ASSOCIATES | AMERICAN FINANCIAL ADVISORS, INC. | ALNA WEALTH MANAGEMENT | ALADINO FINANCIAL SERVICES | AFFINITY WEALTH PLANNING
CRD#: 283824 / SEC#: 801-107913
RIA
Registered Investment Advisory firm - (6/8/2016 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/25/2024)
RR
California(11/25/2024)
IAR
California(11/26/2024)
RR
Florida(11/25/2024)
RR
Georgia(11/25/2024)
RR
Hawaii(11/25/2024)
RR
Michigan(11/25/2024)
RR
Nevada(11/25/2024)
RR
New York(11/25/2024)
RR
Oregon(11/25/2024)
RR
Texas(11/25/2024)
RR
Virginia(11/25/2024)
RR
Washington(11/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MARINER ADVISOR NETWORK
AERO CAPITAL | ZION CAPITAL WEALTH MANAGEMENT | ZION CAPITAL | YERBA BUENA FINANCIAL PARTNERS, LLC | WESTLAKE FINANCIAL MANAGEMENT | WESTERN WEALTH MANAGEMENT, INC. | WEST CAPITAL WEALTH MANAGEMENT | WEALTH VISION ADVISORS | WATERSHED WEALTH MANAGEMENT | WATCH HILL FINANCIAL, INC | WARNER WEALTH STRATEGIES | VIREN AND ASSOCIATES, INC. | VAN KESTEREN CAPITAL MANAGEMENT | UNIQUE PLANNING | UNIFIED WEALTH ADVISORS | THE FINANCIAL SERVICES NETWORK | STRATOS WEALTH PARTNERS | STRATEGIC WEALTH ADVISORS GROUP, LLC | STRATEGIC WEALTH ADVISORS GROUP, INC. | STRATEGIC WEALTH ADVISORS GROUP | STRATEGIC DIVORCE SOLUTIONS, INC. | STRATEFIC WEALTH ADVISORS GROUP, LLC | STONEBRIDGE GLOBAL INVESTMENTS | STEPHENSON COMPANY, THE | STANFORD FEDERAL CREDIT UNION | SPRAGUE WEALTH SOLUTIONS, LLC | SONOMA COUNTY WEALTH ADVISORS | SLANKSTER FINANCIAL | SIMPLIFIED WEALTH MANAGEMENT INC. | SAXE CAPITAL | SAIL FINANCIAL | ROCCO & ASSOCIATES WEALTH MANAGEMENT, INC. | RFS WEALTH ADVISORS | RETIREMENT WEALTH ADVISORS, INC. | RED TOWER ADVISORS | RASMUSSEN ADVISORS | RAHN WEALTH MANAGEMENT, LLC | PUTNAM AND MAIN WEALTH MANAGEMENT | PURPOSE FINANCIAL ADVISORS, LLC | PROVIDENCE WEALTH PLANNING, INC. | POTENTIA, INC | POTENTIA WEALTH | PARAGON FINANCIAL PLANNING | OSTDIEK FINANCIAL AND INSURANCE | OAK WEALTH MANAGEMENT, LLC | OAK TREE WEALTH MANAGEMENT | NURTURED WEALTH | NAPOLI WEALTH MANAGEMENT | MULTIGEN WEALTH SERVICES, INC. | MOSHER FINANCIAL GROUP | MISSE WEALTH MANAGEMENT | MILLS WEALTH MANAGEMENT GROUP | MERCER PARTNERS WEALTH MANAGEMENT | MCCURDY FINANCIAL SERVICES | MCCREA ALLEN | MASTER PLAN ADVISORY, INC. | MARSHALL WEALTH MANAGEMENT GROUP | MARINER INDEPENDENT ADVISOR NETWORK, LLC | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | MARC RHEINGOLD & ASSOCIATES, INC. | MACLISE GROOMS WEALTH MANAGEMENT, LLC | MACKESON ADVISORY | LIGHTHOUSE STRATEGIC ADVISORS, LLC | LEXINGTON WEALTH ADVISORS | LEGACY WEALTH PLANNING, LLC | LAURUS FINANCIAL GROUP | KLEIN INVESTMENT STRATEGIES | JSO PARTNERS | JP WEALTH MANAGEMENT | JBT FINANCIAL, LLC | INTEGRITY FINANCIAL SERVICES | INTEGRITY CAPITAL WEALTH MANAGEMENT, LLC | INTEGRATED WEALTH MANAGEMENT | IMD FINANCIAL, LLC | IDEAL FINANCIAL ADVISORS LLC | I.D.E.A.L. FINANCIAL SERVICES | HUMANITY WEALTH ADVISORS | HORG WEALTH MANAGEMENT | HICKS FINANCIAL SERVICES, LLC | HAPPINESS WEALTH MANAGEMENT | GROOMS WEALTH MANAGEMENT, LLC | GIORDANO WEALTH MANAGEMENT GROUP, LLC | FRANK DEPTOLA AND ASSOCIATES, LLC | FORONJY FINANCIAL | FISKE FINANCIAL STRATEGIES | EXECUTIVE WEALTH STRATEGIES | EQUITY DEVELOPMENT CORPORATION | EQ PRIVATE WEALTH ADVISORS | ENRICH360 WEALTH ADVISORS | ECS CAPITAL INVESTMENTS | DIME AND ASSOCIATES | DILDAY AND ASSOCIATES | DIETZ NEXTSTAGE FINANCIAL MANAGEMENT | DIAMOND GROUP WEALTH ADVISORS, THE | DALE Q. RICE INVESTMENT MANAGEMENT, LTD. | CYPRESS PRIVATE WEALTH | CROW CANYON INVESTMENTS AND FINANCIAL PLANNING | COVENANT WEALTH ADVISORS | COMMON SENSONOMICS WEALTH MANAGEMENT | COLUMBIA ADVISORY PARTNERS, LLC | COLORADO WEST INVESTMENTS, INC. | CLEARLIFE WEALTH MANAGEMENT | CLEAR VISION FINANCIAL ADVISORS | CLARITY FINANCIAL PLANNING, INC. | CAPLAN CAPITAL MANAGEMENT | CAPITAL FINANCIAL SERVICES | CAMINO ADVISORS | CAMBER WEALTH | CALIFORNIA PRIVATE WEALTH | BROWN FINANCIAL SERVICES GROUP OF TEXAS, INC. | BROWN FINANCIAL SERVICES GROUP | BROOKS WEALTH MANAGEMENT | BRIGHT WEALTH PLANNING | BLACK STONE FINANCIAL, INC. | BIG TREES WEALTH MANGEMENT | BERL FINANCIAL SERVICES | BAKER WEALTH MANAGEMENT | AWA WEALTH MANAGEMENT, LLC | ASCEND INTEGRATED WEALTH | ARAKELIAN WEALTH MANAGEMENT | AQUARIUS WEALTH MANAGEMENT, LLC | ANACORTES FINANCIAL ASSOCIATES | AMERICAN FINANCIAL ADVISORS, INC. | ALNA WEALTH MANAGEMENT | ALADINO FINANCIAL SERVICES | AFFINITY WEALTH PLANNING
CRD#: 283824 / SEC#: 801-107913
RIA
Registered Investment Advisory firm - (6/8/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(650) 571-1934
Established
Firm type
Fiscal year end
# of Employees
177
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,221 |
| AUM (Assets Under Management) | $ 8,486,309,662 |
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
MARINER ADVISOR NETWORK
Financial ConsultantCRD#: 283824San Jose, CA 95110TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
