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Sanjay Jain

CPWA®
CRD# 6454400·Registered 2015 - 2024
Previously Registered: Being a previously registered professional could mean that Sanjay 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.

Professional Summary

Sanjay Jain, CPWA® was a registered financial advisor. Sanjay was a previously registered financial professional and started their career in finance 2015 - 2024. Sanjay had worked at 1 firm and has passed the Series 65 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CPWA®
Certified Private Wealth AdvisorValid 2019-04-03 ~ 2023-03-31

Years of Experience

11 years in the financial services industry

Current & Past Employments

OPTIMAL WEALTH GROUP, LLC·CRD# 175180
RIA
Potomac, MD
April 22, 2024 - December 16, 2024
OPTIMAL WEALTH GROUP, LLC·CRD# 175180
RIA
Potomac, MD
May 18, 2017 - January 6, 2024
OPTIMAL WEALTH GROUP, LLC·CRD# 175180
RIA
Bethesda, MD
June 22, 2015 - December 31, 2016

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Current Firm

OW
OPTIMAL WEALTH GROUP, LLC

EXECUTIVE WEALTH GROUP, LLC | OPTIMAL WEALTH GROUP, LLC

CRD#: 175180

Contact Information

Main Address

10400 Sandringham Ct., Potomac, MD 20817

Phone Number

(614) 307-4080

# of Employees

1

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

DR. JAIN IS THE AUTHOR OF OPTIMAL LIVING 360, A COMPREHENSIVE SELF-HELP BOOK. HE RECEIVES ROYALTIES BASED ON THE BOOK'S SALES. NOT INVESTMENT RELATED. HE DEVOTES LESS THAN 5% OF HIS TIME IN THIS ROLE. --- DR. JAIN PROVIDES PRIVATE AND GROUP CONSULTATION TO CLIENTS INDEPENDENT OF FINANCIAL ADVICE WITHIN HIS TOPICS OF WELLNESS AND PERFORMANCE EXPERTISE AS DEFINED BY HIS BOOK, OPTIMAL LIVING 360. HE ALSO PROVIDES THESE SERVICES VIA VARIOUS ONLINE DISTRIBUTION CHANNELS. NOT INVESTMENT RELATED. HE DEVOTES LESS THAN 5% OF HIS TIME IN THIS ROLE. ---- DR. JAIN IS A PAID SPEAKER AS WELL AS A TV AND RADIO EXPERT.NOT INVESTMENT RELATED. HE DEVOTES LESS THAN 5% OF HIS TIME IN THIS ROLE. ---- DR. JAIN CONTINUES TO PRACTICE AS A PHYSICIAN AS AN INDEPENDENT CONTRACTOR.NOT INVESTMENT RELATED. HE DEVOTES APPROXIMATELY 40 HOURS PER WEEK OF HIS TIME IN THIS ROLE. ---- DR. JAIN HAS SERVED ON THE EDITORIAL ADVISORY BOARD FOR IMAGING ECONOMICS SINCE DECEMBER 2009. IMAGING ECONOMICS IS A MEDICAL JOURNAL DEDICATED TO HELPING RADIOLOGIST, RADIOLOGY ADMINISTRATORS, AND HEALTH CARE EXECUTIVES.NOT INVESTMENT RELATED. HE DEVOTES LESS THAN 5% OF HIS TIME IN THIS ROLE. ---- DR. JAIN HAS SERVED AS A BOARD MEMBER ON THE INTERSOCIETAL ACCREDITATION COMMISSION SINCE DECEMBER 2009. THE IAC OFFERS IMAGING AND CAROTID STENTING ACCREDITATION.NOT INVESTMENT RELATED. HE DEVOTES LESS THAN 5% OF HIS TIME IN THIS ROLE.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2015About the Series 65 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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