Sanjiv Kumar Jaswal

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2013 → 11/2024
  Pruco Securities, Llc.
  White Plains, NY
• 02/2013 → Present
  Prudential Insurance Company Of America
  White Plains, NY
• 11/2024 → Present
  Lpl Enterprise, Llc
  White Plains, NY

Previous Registrations

• 2019-12-05 → 2024-11-14
  Pruco Securities, Llc.
  White Plains, NY
  White Plains, NY

Other Businesses

1) 09/20/2024- Pacific Life & Annuity Company- Agent of Record and occasional New Business- Non-Variable Insurance- INV Related- White Plains, NY- Start Date 02/12/2024- 1hrs/mth- 1hrs during trading 2) 09/06/2024- Estate Planning Council of Westchester County- Regular Board Member assisting with membership- Non-Profit Board Member- Not INV Related- White Plains, NY- Start Date 07/01/2022- 2hrs/mth- 0hrs during trading 3) 09/06/2024- Larchmont Chamber of Commerce- Director of Membership- Non-Profit- Not INV Related- White Plains, NY- Start Date 12/09/2022- 1hrs/mth- 0hrs during trading 4)11/14/2024-SJ Insurance and Financial Services-DBA for LPL Business (entity for LPL business)-Inv Related-At reported business location(s)-Start date 06/04/2020-80hrs/mth-80hrs/mth during trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-10-29
• S63 Uniform Securities Agent State Law Examination
  1996-07-24

Designations

• Certified Financial Planner
• Chartered Financial Consultant