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AS

Arvind Saxena

US CAPITAL GLOBAL WEALTH MANAGEMENT
SAN FRANCISCO, CA 94111
CRD#: 7270550
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AS
Arvind SaxenaUS CAPITAL GLOBAL WEALTH MANAGEMENT

Professional summary

Arvind Saxena, who also goes by Saxena, is a registered financial advisor currently at US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC located in San Francisco, California and US CAPITAL GLOBAL SECURITIES, LLC located in San Francisco, California.

Arvind is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Arvind has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Saxena

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arvind Saxena'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

February 24, 2026 - Present

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

Office #1: 1 Ferry Building Suite 201, San Francisco, CA 94111
RIA
CRD#: 299885
SAN FRANCISCO, CA
Current

April 7, 2026 - Present

US CAPITAL GLOBAL SECURITIES, LLC

Office #1: 1 Ferry Building Suite 201, San Francisco, CA 94111
BD
CRD#: 169544
SAN FRANCISCO, CA
Past

February 23, 2024 - January 29, 2026

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
FREMONT, CA
Past

March 21, 2022 - January 29, 2026

NYLIFE SECURITIES LLC

BD
CRD#: 5167
SAN FRANCISCO, CA

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

IAR
California
(2/24/2026)
RR
California
(4/7/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/8/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/15/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/18/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/8/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

UC
US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC
US CAPITAL GLOBAL WEALTH MANAGEMENT LLC | US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

CRD#: 299885 / SEC#:

California
Registered Investment Advisory firm - (3/27/2019 Approved)
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Contact information

Main Address
1 Ferry Building Suite 201, San Francisco, CA 94111
Mailing Address
Phone number
(917) 923-9649
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts50
AUM (Assets Under Management)$ 24,500,000

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

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

CRD#: 299885San Francisco, CA 94111

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