Sanjiv Jaswal
Sanjiv Jaswal is a CFP, ChFC-designated registered investment advisor at LPL Enterprise, LLC, based in Mamaroneck, NY, with 29 years of industry experience. Sanjiv operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
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Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
Mamaroneck, NY
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Regulatory History (1)
Financial
June 2018Other Business ActivitiesSells Insurance
Sanjiv is an agent for Pacific Life & Annuity Company, spending minimal time on non-variable insurance matters. He also serves as a board member for the Estate Planning Council of Westchester County and Director of Membership for the Larchmont Chamber of Commerce, dedicating minimal time to each. Sanjiv operates under the DBA SJ Insurance and Financial Services for his LPL business, dedicating about half of his time to it.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Bryan Garnier Securities, LLCBroker
Sal. Oppenheim JR. & Cie. Securities INC.Broker
Lombard Odier Darier Hentsch Securities, INC.Broker
UBS Warburg LLCBroker
Sbc Warburg Dillon Read INC.Broker
Sbc Warburg, INC.Broker
S.G. Warburg & CO. INC.Broker
State Registrations19 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.