Sanjay Mathur
Sanjay Mathur is a registered investment advisor at RBC Capital Markets, LLC, based in Irvine, CA, with 42 years of industry experience. Sanjay operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
400 Spectrum Center Drive, Suite 200, Irvine, CA, 92618
Get directionsHistory
Regulatory History (7)
Customer Dispute
November 2024Customer Dispute
September 2019Customer Dispute
August 2017Customer Dispute
September 2016Customer Dispute
November 2015Employment Separation After Allegations
April 2012Customer Dispute
December 2008Other Business Activities
Sanjay has several outside business activities, including ownership in commercial rental properties, a limited partnership, and an LLC. He also runs a charitable foundation with his wife; none of these activities appear to be investment-related or require significant time commitment.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Prudential Securities IncorporatedBroker
Painewebber IncorporatedBroker
First Investors CorporationBroker
Lehman Brothers INC.Broker
State Registrations17 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.