Sripat Pandey has been Member/President of Global Wealth Management since October 2017, is a control person of the firm and directly owns between 5% and 10% of it. Sripat Pandey holds an Engineering degree from IIT Kanpur and an MBA from IIM Bangalore.
Global Wealth Management, LLC is a Kingston, NJ firm with $246M under management, 76 clients and 3 advisers in one office, as of its February 2026 filing.
Sripat Pandey is President and Chief Investment Officer of Global Wealth Management. He has over twenty years of investment experience consisting of equity investing, investment banking, and corporate finance/M&A. He moved to the U.S. in 2000 to serve as President of ICICI Securities Inc. and began his career as an analyst at an international fund.
Sripat Pandey’s longest registration is the current one, 8 years at Global Wealth Management since 2018.
- Satva Advisors LLCAlso current– present · 1 yearPrinceton, NJ · Adviser representative · Firm CRD 334053
- – present · 8 yearsKingston, NJ · Adviser representative · Firm CRD 153677
Investment adviser representative registrations
Sripat Pandey is registered as an investment adviser representative in New Jersey, since April 2018.
- New JerseySince 3 April 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 27 March 2018 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 October 2012 |
| Series 79 | Investment Banking Registered Representative Examination | 17 October 2012 |
| Series 72 | Government Securities Representative Examination | 28 July 2003 |
| Series 24 | General Securities Principal Examination | 9 September 2000 |
| Series 62 | Corporate Securities Limited Representative Examination | 9 September 2000 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Government Securities Representative Examination
- Name
- General Securities Principal Examination
- Name
- Corporate Securities Limited Representative Examination
- CRD
- 4250947
- Firm
- Global Wealth Management · CRD 153677
- Role
- Member/President
- Office
- 4420 ROUTE 27, SUITE B, Kingston, NJ 08528
- Registration
- Investment adviser registration
- In the industry since
- April 2018
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- globalwealthllc.com
Where does Sripat Pandey work?
Sripat Pandey has been Member/President of Global Wealth Management, LLC since October 2017, and is a control person of the firm.
Is Sripat Pandey a financial advisor?
Yes. Sripat Pandey has a current investment-adviser registration in New Jersey, through Global Wealth Management since April 2018.
How many years of experience does Sripat Pandey have?
Sripat Pandey has 8 years in the financial industry, since April 2018, across 2 adviser firms.
What exams has Sripat Pandey passed?
Sripat Pandey has passed 6 licensing exams: the Series 24, Series 62, Series 72, Series 79, Series 63 and Series 65. The earliest, the Series 24, was passed in September 2000.
Where is Sripat Pandey based?
Sripat Pandey’s registered office is in Kingston, NJ.
Is Sripat Pandey registered with FINRA?
No. Sripat Pandey has no current broker registration.
How can I verify Sripat Pandey’s record?
Search CRD 4250947 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Sripat Pandey’s full registration record.
