SC
Sanjay Chandra
TRINITY INVESTORS FUND ADVISORS
Southlake, TX 76092
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CRD#: 5512809
SC
Professional summary
Sanjay Chandra is a registered financial advisor currently at TRINITY INVESTORS FUND ADVISORS, LLC located in Southlake, Texas and TPEG SECURITIES, LLC located in Southlake, 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 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Sanjay Chandra'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®
NoneExperience
Current
October 6, 2023 - Present
TRINITY INVESTORS FUND ADVISORS, LLC
Office #1: 2102 E State Hwy 114 Suite 300, Southlake, TX 76092RIA
CRD#: 314603
Southlake, TX
Current
August 20, 2008 - Present
TPEG SECURITIES, LLC
Office #1: 2102 E State Hwy 114 Suite 300, Southlake, TX 76092BD
CRD#: 146726
Southlake, TX
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".
TI
TRINITY INVESTORS FUND ADVISORS, LLC
TPEG OPCO ADVISORS LLC | TRINITY INVESTORS FUND ADVISORS, LLC
CRD#: 314603 / SEC#: 801-128471
RIA
Registered Investment Advisory firm - (7/28/2023 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
Alabama(11/2/2023)
RR
Alaska(8/16/2021)
RR
Arizona(7/5/2018)
RR
Arkansas(3/23/2018)
RR
California(11/5/2014)
RR
Colorado(7/18/2014)
RR
Connecticut(4/16/2015)
RR
Delaware(2/3/2022)
RR
District of Columbia(11/8/2018)
RR
Florida(6/10/2015)
RR
Georgia(6/10/2015)
RR
Idaho(1/25/2022)
RR
Illinois(4/20/2021)
RR
Indiana(2/26/2018)
RR
Iowa(8/20/2020)
RR
Kansas(9/12/2018)
RR
Kentucky(1/24/2022)
RR
Louisiana(8/19/2020)
RR
Maryland(2/5/2016)
RR
Massachusetts(10/24/2014)
RR
Michigan(9/12/2018)
RR
Minnesota(1/20/2022)
RR
Mississippi(1/20/2022)
RR
Missouri(11/5/2014)
RR
Montana(3/22/2022)
RR
Nebraska(1/27/2022)
RR
Nevada(8/8/2019)
RR
New Hampshire(10/15/2015)
RR
New Jersey(9/30/2014)
RR
New Mexico(7/25/2018)
RR
New York(2/11/2013)
RR
North Carolina(8/26/2014)
RR
North Dakota(1/31/2022)
RR
Ohio(7/26/2023)
RR
Oklahoma(8/14/2020)
RR
Oregon(4/21/2015)
RR
Pennsylvania(2/12/2018)
RR
Puerto Rico(10/11/2022)
RR
Rhode Island(9/1/2020)
RR
South Carolina(4/28/2015)
RR
South Dakota(4/6/2022)
RR
Tennessee(8/23/2019)
RR
Texas(8/27/2008)
IAR
Texas(10/6/2023)
RR
Utah(1/27/2022)
RR
Vermont(6/29/2022)
RR
Virginia(6/10/2015)
RR
Washington(8/17/2020)
RR
West Virginia(6/16/2022)
RR
Wisconsin(8/14/2020)
RR
Wyoming(2/8/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TRINITY INVESTORS FUND ADVISORS, LLC
TPEG OPCO ADVISORS LLC | TRINITY INVESTORS FUND ADVISORS, LLC
CRD#: 314603 / SEC#: 801-128471
RIA
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Contact information
Main Address
2102 E State Hwy 114 Suite 300, Southlake, TX 76092
Mailing Address
Phone number
(817) 310-2900
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 572,305,764 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 6/29/2023 |
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.
