Sonja Gupte
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sonja Gupte MS., who also goes by Mala Chandru Vaswani Mrs., Sonja Gupte Vaswani Ms., was a registered financial professional .
Sonja is a previously registered financial professional and started their career in finance in 2010. Sonja had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2024 - April 9, 2025
FOCUS PARTNERS WEALTH, LLC
August 29, 2012 - November 14, 2024
BUCKINGHAM STRATEGIC WEALTH, LLC
September 15, 2010 - December 21, 2012
FOUNDERS FINANCIAL NETWORK, LLC
Primary Firm SEC Registration
FOCUS PARTNERS WEALTH, LLC
CRD#: 159289 / SEC#: 801-72862
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
FOCUS PARTNERS WEALTH, LLC
CRD#: 159289 / SEC#: 801-72862
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,141 |
| AUM (Assets Under Management) | $ 95,889,888,426 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 07/26/2023 |
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.
