Pradeep V. Niphadkar

EXCEL CAPITAL MANAGEMENT CORP

Warren, NJ 07059

Some features on this profile are disabled

CRD#: 2373188

Professional summary

Pradeep Vishwanath Niphadkar is a registered financial advisor currently at EXCEL CAPITAL MANAGEMENT CORP located in Warren, New Jersey.

Pradeep is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Pradeep has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pradeep Vishwanath Niphadkar'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®

None

Experience

Current

May 30, 2012 - Present

EXCEL CAPITAL MANAGEMENT CORP

Office #1: 12 Stratford Court, Warren, NJ 07059

RIA

CRD#: 109229

Warren, NJ

Past

October 7, 1993 - January 1, 1999

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, NY

Past

August 20, 1993 - October 15, 1993

MONTANO SECURITIES CORPORATION

CRD#: 7887

ORANGE, CA

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".

EXCEL CAPITAL MANAGEMENT CORP

CRD#: 109229 / SEC#: 801-124719

RIA

Registered Investment Advisory firm - (4/22/2022 Approved)

Florida

Registered Investment Advisory firm - (11/30/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (6/30/2022 Terminated)

Ohio

Registered Investment Advisory firm - (11/30/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(7/31/2012)

IAR

New Jersey
(6/15/2012)

IAR

Ohio
(5/30/2012)

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

Series 63

Date: 9/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/19/1993

General Securities Representative Examination

Current Firm

EXCEL CAPITAL MANAGEMENT CORP

CRD#: 109229 / SEC#: 801-124719

RIA

Registered Investment Advisory firm - (4/22/2022 Approved)

Florida

Registered Investment Advisory firm - (11/30/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (6/30/2022 Terminated)

Ohio

Registered Investment Advisory firm - (11/30/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

12 Stratford Court, Warren, NJ 07059

Mailing Address

Phone number

(908) 431-1770

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EXCEL CAPITAL MANAGEMENT CORP. FIRM BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	189
AUM (Assets Under Management)	$ 175,149,143

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.

Similar Advisors

Sungmin Ryan Park

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Florham Park, NJ

Shivam Mittal

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Summit, NJ

Elizabeth Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

IAR

Summit, NJ

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Pradeep V. Niphadkar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pradeep Vishwanath Niphadkar's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXCEL CAPITAL MANAGEMENT CORP

NORTHEAST SECURITIES, LLC

MONTANO SECURITIES CORPORATION

Primary Firm SEC Registration

EXCEL CAPITAL MANAGEMENT CORP

State Registrations and Notice Filings

Exams

Series 63

Date: 9/15/1993

Series 7

Date: 8/19/1993

Current Firm

EXCEL CAPITAL MANAGEMENT CORP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EXCEL CAPITAL MANAGEMENT CORP

TRUST BUT VERIFY

Similar Advisors