Sneh Pal Jolly

Current Employers

Employment History

• 11/2007 → 04/2023
  Wells Fargo Bank, N.A.
  Castro Valley, CA
• 10/2014 → 11/2016
  Wells Fargo Advisors, Llc
  Castro Valley, CA
• 11/2016 → 04/2023
  Wells Fargo Clearing Services, Llc
  Castro Valley, CA
• 04/2023 → 06/2024
  Securities America, Inc.
  San Jose, CA
• 04/2023 → 06/2024
  Securities America Advisors
  San Jose, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  San Jose, CA

Previous Registrations

• 2023-04-06 → 2024-06-14
  Securities America Advisors, Inc.
  San Jose, CA
• 2021-01-16 → 2023-04-18
  Wells Fargo Clearing Services, Llc
  Castro Valley, CA
  Walnut Creek, CA
  Walnut Creek, CA
  Pleasanton, CA

Other Businesses

1. 671 HAMPON ROAD, HAYWARD, CA 94541 POSITION: Owner NATURE: Real Estate (Rental Property) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/04/2019 ADDRESS: 671 Hampton Road, Hayward CA 94541 DESCRIPTION: Real Estate Rental 2. THE SNEH JOLLY SEPARATE PROPERTY TRUST POSITION: Trustee NATURE: Trust INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/27/2016 ADDRESS: 4327 Bel Estos Way, Union City CA 94587 DESCRIPTION: Trustee of The Sneh Jolly Separate Property Trust (personal Trust).? 3. NEH JOLLY POSITION: Owner NATURE: Rental Property- 4327 Bel Estos Way, Union City, CA 94587 INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2024 ADDRESS: 4327 BEL ESTOS WAY, UNION CITY CA 94587, United States DESCRIPTION: Rental Property 4. SROKA GROUP LLC POSITION: Member NATURE: LLC- Sole Member INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 01/14/2026 ADDRESS: 1990 Waverly Ave, San Jose CA 95122, United States DESCRIPTION: Dear Osaic Compliance Team,I'm writing to request review and approval for a new Outside Business Activity related to a recently formed California LLC. The LLC has been established solely for proprietary trading of my personal capital. It will not provide advisory services, will not mange client assets, and will not be represented as part of my advisory practice with Osaic Wealth. I would like to receive compliance guidance and approval before proceeding to open the following accounts: A business brokerage account under the LLC for trading activity. A Separate retirement account associated with the LLC (SEP IRA) A Defined Benefit Plan as an additional retirement option All activity within these accounts will be limited to my own personal funds. Please let me know if there are any disclosures, forms, or additional information needed to complete this review. Thank you for your time and consideration.Best regards, Sneh Jolly

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-01-15
• S63 Uniform Securities Agent State Law Examination
  2014-12-01