Vishnu S. Gupta

NEK FINANCIAL

Irving, TX

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CRD#: 1580034

Professional summary

Vishnu Swaroop Gupta, who also goes by VIshnu Gupta, is a registered financial advisor currently at NEK FINANCIAL INC located in Irving, Texas.

Vishnu is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Vishnu has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vishnu Gupta

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vishnu Swaroop Gupta's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 9, 2023 - Present

NEK FINANCIAL INC

RIA

CRD#: 325331

Irving, TX

Past

January 2, 2003 - December 26, 2014

NETRIN INVESTMENTS, LP

RIA

CRD#: 115356

MISSOURI CITY, TX

Past

August 2, 1988 - May 21, 1990

TAMARON INVESTMENTS, INC.

CRD#: 14929

Past

October 30, 1986 - January 6, 1987

TAMARON INVESTMENTS, INC.

CRD#: 14929

Past

October 24, 1986 - November 7, 1986

NORTH AMERICAN CAPITAL CORPORATION

CRD#: 14727

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(8/9/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/1/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/30/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/31/1989

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/23/1989

Registered Options Principal Examination

Current Firm

NEK FINANCIAL INC

CRD#: 325331 / SEC#:

Texas

Registered Investment Advisory firm - (8/9/2023 Approved)

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Contact information

Main Address

Irving, TX

Mailing Address

Phone number

(512) 968-1543

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Vishnu S. Gupta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vishnu Swaroop Gupta's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEK FINANCIAL INC

NETRIN INVESTMENTS, LP

TAMARON INVESTMENTS, INC.

TAMARON INVESTMENTS, INC.

NORTH AMERICAN CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/2023

Series 63

Date: 8/30/1988

Series 7

Date: 10/18/1986

Series 24

Date: 5/31/1989

Series 4

Date: 5/23/1989

Current Firm

NEK FINANCIAL INC

Contact information

Documents

Red Flags

Company Information

NEK FINANCIAL INC

TRUST BUT VERIFY

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