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ST

Sanjay Tolia

INSTITUTIONAL SECURITIES
Dallas, TX 75219
Some features on this profile are disabled
CRD#: 5238748
ST

Professional summary

Sanjay Tolia is a registered financial professional currently at INSTITUTIONAL SECURITIES CORPORATION located in Dallas, Texas.

Sanjay is registered as a RR (Registered Representative) and started their career in finance in 2008. Sanjay has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sanjay Tolia'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®
None

Experience

Current

May 22, 2025 - Present

INSTITUTIONAL SECURITIES CORPORATION

Office #1: 3500 Oak Lawn Ave Suite 400, Dallas, TX 75219
BD
CRD#: 20291
Dallas, TX
Past

June 9, 2025 - February 2, 2026

ISC ADVISORS, INC.

RIA
CRD#: 166586
Manhattan Beach, CA
Past

December 2, 2024 - March 26, 2025

MARINE LAYER WEALTH

RIA
CRD#: 332643
MANHATTAN BEACH, CA
Past

July 30, 2024 - May 23, 2025

NAVIAN CAPITAL SECURITIES LLC

BD
CRD#: 145037
CINCINNATI, OH
Past

January 15, 2013 - December 28, 2018

BENGAL CAPITAL TRADING LLC

BD
CRD#: 165173
CHICAGO, IL
Past

April 1, 2008 - January 16, 2013

BENGAL CAPITAL, LLC

BD
CRD#: 141585
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(5/22/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/21/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/28/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/30/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/16/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/2/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/14/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IS
INSTITUTIONAL SECURITIES CORPORATION
INSTITUTIONAL SECURITIES CORPORATION | ISC GROUP, INC.

CRD#: 20291 / SEC#: 801-36967, 8-38158

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
3500 Oak Lawn Ave Suite 400, Dallas, TX 75219
Mailing Address
3500 Oak Lawn Ave Suite 400, Dallas, TX 75219
Phone number
(214) 520-1115
Established
Texas since 06/24/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
ISC GROUP, INC.OWNS APPLICANT
BLYTHE, TERRY LYNNCHIEF COMPLIANCE OFFICER1822890
HAYES, SCOTT ALLENPRESIDENT2375916
STERLING, DONALD WILLIAMFINANCIAL OPERATIONS PRINCIPAL1192425

Disclosures

Regulatory Event1

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

INSTITUTIONAL SECURITIES CORPORATION

CRD#: 20291Dallas, TX 75219

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