SD
Sanjay Dhar
CETERA INVESTMENT ADVISERS
San Ramon, CA 94583
Some features on this profile are disabled
CRD#: 5710782
SD
Sanjay DharCETERA INVESTMENT ADVISERS
Professional summary
Sanjay Dhar is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Ramon, California and CETERA ADVISORS LLC located in San Ramon, California.
Sanjay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Sanjay has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 09/2004 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: BAY AREA WEALTH MANAGEMENT GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: QUANTUM TRADES LLC INVESTMENT RELATED: NO ADDRESS: 2618 MINTON CT, PLEASANTON, CA NATURE OF BUSINESS: FINTECH START DATE: 09/2025 POSITION/TITLE/RELATIONSHIP: CONSULTANT APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: HELPING WITH APPLICATION DESIGN AND NAVIGATION OF THEIR FINTECH PLATFORM
CRS (Client Relationship Summary) - RIA
Click below to view Sanjay Dhar'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
July 27, 2026 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 12647 Alcosta Blvd Suite 200, San Ramon, CA 94583RIA
CRD#: 105644
San Ramon, CA
Current
July 27, 2026 - Present
CETERA ADVISORS LLC
Office #1: 12647 Alcosta Blvd Suite 370, San Ramon, CA 94583BD
CRD#: 10299
San Ramon, CA
Past
September 1, 2023 - July 30, 2026
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SAN RAMON, CA
Past
September 1, 2023 - July 30, 2026
OSAIC WEALTH, INC.
BD
CRD#: 23131
SAN RAMON, CA
Past
July 17, 2014 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
SAN JOSE, CA
Past
July 14, 2014 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
SAN JOSE, CA
Past
October 21, 2009 - July 17, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
SAN RAMON, CA
Past
September 17, 2009 - July 17, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
SAN RAMON, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
California(7/27/2026)
IAR
California(7/27/2026)
RR
Florida(7/27/2026)
RR
New Jersey(7/27/2026)
RR
Oregon(7/27/2026)
RR
Texas(7/27/2026)
IAR
Texas(7/27/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Loading...
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644San Ramon, CA 94583TRUST BUT VERIFY
Monitor Sanjay Dhar
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
