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DM

Deepak K. Malhotra

STRATEGIC WEALTH SOLUTIONS LLC
Lincroft, NJ
Some features on this profile are disabled
CRD#: 5697204
DM

Professional summary

Deepak Kumar Malhotra is a registered financial advisor currently at STRATEGIC WEALTH SOLUTIONS LLC located in Lincroft, New Jersey.

Deepak is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Deepak has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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.
Accounting and Tax Practice Single owner of Accounting firm, which pays me w-2 income and distribution of profit from business as K-1.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Deepak Kumar Malhotra'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®
None

Experience

Current

September 20, 2021 - Present

STRATEGIC WEALTH SOLUTIONS LLC

RIA
CRD#: 314589
Lincroft, NJ
Past

October 5, 2018 - December 2, 2019

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
EDISON, NJ
Past

June 27, 2018 - December 2, 2019

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
EDISON, NJ
Past

February 24, 2015 - June 29, 2018

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
Edison, NJ
Past

February 20, 2014 - June 29, 2018

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Edison, NJ
Past

April 22, 2010 - February 11, 2014

NYLIFE SECURITIES LLC

BD
CRD#: 5167
ISELIN, NJ

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
New Jersey
(9/20/2021)
IAR
New York
(10/2/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/3/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/2/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/2/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/21/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SW
STRATEGIC WEALTH SOLUTIONS LLC
STRATEGIC WEALTH SOLUTIONS LLC

CRD#: 314589 / SEC#:

New Jersey
Registered Investment Advisory firm - (7/14/2021 Approved)
New York
Registered Investment Advisory firm - (10/1/2021 Approved)
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Contact information

Main Address
Lincroft, NJ
Mailing Address
Phone number
(732) 673-6463
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts211
AUM (Assets Under Management)$ 24,766,085

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

STRATEGIC WEALTH SOLUTIONS LLC

CRD#: 314589Lincroft, NJ

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