Naveen P. Sharma

NICOLLET INVESTMENT MANAGEMENT

Minneapolis, MN 55401

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CRD#: 2144056

Professional summary

Naveen Paul Sharma, CFP® is a registered financial advisor currently at NICOLLET INVESTMENT MANAGEMENT, INC. located in Minneapolis, Minnesota.

Naveen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Naveen has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Employee and Employer Plan Ben...

Estate Planning

Tax Planning

Insurance Planning

Education Planning

Business Succession Planning

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. O IV State Mill and Cooperage; Not Investment-Related; Bloomington, MN; Manufacture of White Oak Staves and Barrels - Start-up no revenues. No current value; Board of Directors; 05/2016; 1-2 Hrs/Mth over the weekend; 0 Hrs/Trading; Advising CEO regarding White Oak Volume in Southeast Region of USA. 2. Hurdles Foundation; Not Investment-Related; Bloomington, MN 55438; Non Profit Organization; Treasurer; Board Member; 01/2020; 2 Hours/month; 2 hours/trading hours; Prepare Financial Statements, Interfact with CPA, Event planning, Quarterly board meetings

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Naveen Paul Sharma's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

June 26, 2024 - Present

NICOLLET INVESTMENT MANAGEMENT, INC.

Office #1: 800 Washington Avenue North Suite 150, Minneapolis, MN 55401

RIA

CRD#: 109401

Minneapolis, MN

Past

June 21, 2022 - May 24, 2024

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

MINNEAPOLIS, MN

Past

June 17, 2022 - May 24, 2024

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

MINNEAPOLIS, MN

Past

January 18, 2018 - April 15, 2021

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Minneapolis, MN

Past

January 18, 2018 - April 15, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

Minneapolis, MN

Past

February 24, 2017 - November 10, 2017

MANAGED ACCOUNT SERVICES, LLC

CRD#: 133803

MALVERN, PA

Past

July 27, 2016 - December 31, 2017

IPC PRIVATE WEALTH PARTNERS, LLC

RIA

CRD#: 284726

Edina, MN

Past

September 13, 2007 - January 29, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MINNEAPOLIS, MN

Past

September 13, 2007 - January 29, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MINNEAPOLIS, MN

Past

March 28, 2007 - September 14, 2007

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 42941

GOLDEN VALLEY, MN

Past

December 2, 2002 - September 14, 2007

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

GOLDEN VALLEY, MN

Past

March 20, 1998 - December 16, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

December 3, 1992 - April 17, 1998

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NICOLLET INVESTMENT MANAGEMENT, INC.

ALLA ACQUISITION CO | NICOLLET INVESTMENT MANAGEMENT, INC. | ALLA INVESTMENT MANAGEMENT, INC. (AS REPORTED TO SEC ON 3/23/00) | ALLA INVESTMENT MANAGEMENT, INC. | ALLA INVESTMENT MANAGEMENT INC

CRD#: 109401 / SEC#: 801-57282

RIA

Registered Investment Advisory firm - (2/22/2000 Approved)

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

Minnesota
(6/26/2024)

IAR

Texas
(6/26/2024)

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 66

Date: 9/8/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/2/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/1992

General Securities Representative Examination

Current Firm

NICOLLET INVESTMENT MANAGEMENT, INC.

ALLA ACQUISITION CO | NICOLLET INVESTMENT MANAGEMENT, INC. | ALLA INVESTMENT MANAGEMENT, INC. (AS REPORTED TO SEC ON 3/23/00) | ALLA INVESTMENT MANAGEMENT, INC. | ALLA INVESTMENT MANAGEMENT INC

CRD#: 109401 / SEC#: 801-57282

RIA

Registered Investment Advisory firm - (2/22/2000 Approved)

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Contact information

Main Address

800 Washington Avenue North Suite 150, Minneapolis, MN 55401

Mailing Address

Phone number

(612) 915-3033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NICOLLET INVESTMENT INC ADV PART 2A (9/17/2025)

Regulatory assets under management

Total Number of Accounts	868
AUM (Assets Under Management)	$ 532,509,760

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Naveen P. Sharma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Naveen Paul Sharma's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MANAGED ACCOUNT SERVICES, LLC

IPC PRIVATE WEALTH PARTNERS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

ROBERT W. BAIRD & CO. INCORPORATED

PIPER SANDLER & CO.

Primary Firm SEC Registration

NICOLLET INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2006

Series 65

Date: 12/2/1999

Series 63

Date: 12/8/1992

SIE

Date: 10/1/2018

Series 7

Date: 12/1/1992

Current Firm

NICOLLET INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NICOLLET INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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