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Sanjay Tolia

KUBENCE
MANHATTAN BEACH, CA
·CRD# 5238748·19 years experience

Professional Summary

Sanjay Tolia is a registered financial advisor currently at KUBENCE located in Manhattan Beach, California and INSTITUTIONAL SECURITIES CORPORATION located in Dallas, Texas. Sanjay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Sanjay has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

19 years in the financial services industry

Current & Past Employments

KUBENCE·CRD# 336461
RIA
Manhattan Beach, CA
March 11, 2026 - Present
INSTITUTIONAL SECURITIES CORPORATION·CRD# 20291
BD
3500 Oak Lawn Ave Suite 400, Dallas, TX 75219
May 22, 2025 - Present
ISC ADVISORS, INC.·CRD# 166586
RIA
Manhattan Beach, CA
June 9, 2025 - February 2, 2026
MARINE LAYER WEALTH·CRD# 332643
RIA
Manhattan Beach, CA
December 2, 2024 - March 26, 2025
NAVIAN CAPITAL SECURITIES LLC·CRD# 145037
BD
Cincinnati, OH
July 30, 2024 - May 23, 2025
BENGAL CAPITAL TRADING LLC·CRD# 165173
BD
Chicago, IL
January 15, 2013 - December 28, 2018
BENGAL CAPITAL, LLC·CRD# 141585
BD
Chicago, IL
April 1, 2008 - January 16, 2013

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Current Firm

KU
KUBENCE

KUBENCE | KUBENCE LLC

CRD#: 336461 / SEC#: 801-133875
RIA
Registered Investment Advisory firm - SEC (7/14/2025 Approved)

Contact Information

Main Address

Manhattan Beach, CA

Mailing Address

425 15th Street #3113, Manhattan Beach, CA 90266

Phone Number

(650) 308-8398

# of Employees

2

SEC notice filing (3 States and Territories)

Registered to provide investment advisory services in 3 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KUBENCE ADV PART 2A 03.17.2026 (3/31/2026)

Regulatory Assets Under Management

Total Number of Accounts

1

AUM (Assets Under Management)

$570,000

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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) (i) Bengal Impact Partners; (ii) Investment Related: Yes; (iii) Address: 6608 E 2nd Street, Scottsdale, AZ; (iv) Nature of Business: Investment fund vehicle. I am a partner but no longer active in day to day decision or management of the fund; Position: (v-vi) Partner; (vii) Start: 1/01/2021; (viii) Number hrs./month: 1 (ix) Number of hrs./month during securities hrs: 0; (x) Duties: Look over taxes and investments 2) (i) The Pharm, LLC; (ii) Investment Related: No; (iii) Address: 7201 E Camelback Road, Suite 300, Scottsdale, AZ, 85251 ; (iv) Nature of Business: State Licensed Health and Wellness company; (v-vi) ) Position: Board Member; (vii) Start 11/01/2020; (viii) No. of Hrs./Month 2; (ix) (viii) No. of Hrs./Month 0 ; (x) Monthly Board of Directors Meeting 3) (i) Rythm Corp; (ii) Investment Related: No; (iii) Address: 2220 Hicks Road, Suite 210, Rolling Meadows, IL, 60008; (iv) Nature of Business: NASD traded CPG licensing company; (v-vi) ) Position: Board Member; (vii) Start 01/01/2025; (viii) No. of Hrs./Month 2; (ix) (viii) No. of Hrs./Month during trading hours 0 ; (x) Monthly Board of Directors Meeting 4) (i) Kubence LLC; (ii) Investment Related: Yes; (iii) Address: 2100 Blanche Road, Manhattan Beach, CA, 90266; (iv) Nature of Business: SEC Registered Investment Adviser; (v-vi) ) Position: Founder; (vii) Start 01/05/2025; (viii) No. of Hrs./Month 8; (ix) (viii) No. of Hrs./Month during trading hours 4; (x) Oversee hiring and strategy for our SMA platform 5) (i) Marine Layer Technologies ; (ii) Investment Related: Yes; (iii) Address: 2100 Blanche Road, Manhattan Beach, CA, 90266; (iv) Nature of Business: Structured note marketing; (v-vi) ) Position: President; (vii) Start 01/01/2023; (viii) No. of Hrs./Month 100; (ix) (viii) No. of Hrs./Month during trading hours 100; (x) Running sales and marketing 6) (i) Institutional Securities Corporation ; (ii) Investment Related: Yes; (iii) Address: 3500 Oak Lawn Avenue Suite 400, Dallas, TX, 75219; (iv) Nature of Business: Wholesalers of structured notes to Financial Advisors; (v-vi) ) Position: President; (vii) Start 06/01/2025; (viii) No. of Hrs./Month 160; (ix) (viii) No. of Hrs./Month during trading hours 160; (x) Marketing and Sales

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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".
KU
KUBENCE

KUBENCE | KUBENCE LLC

CRD#: 336461 / SEC#: 801-133875
RIA
Registered Investment Advisory firm - SEC (7/14/2025 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(5/22/2025)
IAR
California
(3/11/2026)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2024About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2024About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Jul 2024About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Apr 2024About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2007About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2026About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Sanjay Tolia's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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