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Financial ADVSR advisor directory · SEC adviser records

Financial advisors in Santa Clara, CA

Every SEC-registered investment adviser representative at a firm office in Santa Clara, with the firms that employ the most of them.

91 registered advisors work in Santa Clara; the most are at J.P. Morgan Securities LLC (25). 6 list the CFP designation and 66 are also registered broker representatives.

Firms with the most advisors in Santa Clara

FirmAdvisors in Santa Clara
J.P. Morgan Securities LLC news25
Ameriprise Financial Services, LLC news9
Transamerica Financial Advisors, LLC6
Edelman Financial Engines news5
Wells Fargo Clearing Services, LLC news4
Merrill Lynch, Pierce, Fenner & Smith Incorporated news3
Altura Wealth Advisors Inc.2
Cambridge Investment Research Advisors, Inc. news2
Creative Planning news2
East West Wealth Advisors LLC2
Edward Jones news2
Figtree Financial Advisors, LLC2
Money Intelligence2
Nri Wealth Management, LLC2
Pfs Investments Inc.2
Strategic Advisers LLC2
Candor Financial, LLC1
Cetera Investment Advisers LLC news1
Charles Schwab & Co., Inc. news1
Citigroup Global Markets Inc. news1
Equitable Advisors, LLC news1
Jy Capital Management1
LPL Financial LLC news1
Nectarine1
Osaic Wealth, Inc. news1

Advisors in Santa Clara, A to Z

CFP advisors in Santa Clara →

Other cities in California

All of California →

San Diego 3,490San Francisco 3,219Los Angeles 3,218Newport Beach 1,783Irvine 1,659Pasadena 1,109Walnut Creek 1,049San Jose 897Beverly Hills 656Roseville 611Westlake Village 597Sacramento 588Palo Alto 500Torrance 471La Jolla 463Carlsbad 429Menlo Park 428Santa Barbara 422El Segundo 421Fresno 413San Rafael 394San Mateo 354Woodland Hills 343Long Beach 335

Questions

How many financial advisors are in Santa Clara, CA?

91 investment adviser representatives are registered at firm offices in Santa Clara, California, according to the SEC's Investment Adviser Public Disclosure records. 66 of them are also registered as broker representatives, and 6 list the CFP designation.

Which firm has the most financial advisors in Santa Clara?

J.P. Morgan Securities LLC, with 25 registered advisors in Santa Clara, followed by Ameriprise Financial Services, LLC with 9.

How do I check a financial advisor in Santa Clara?

Each advisor below links to a profile with their firm, registrations, exams and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the firm office they're registered at; an advisor registered at offices in more than one city appears in each. Broker-only representatives (FINRA BrokerCheck) aren't included. Moving firms? See who's moving this week, compare payouts by firm or value a recruiting offer.