NV
Nimalendra Vallipuram
ANDREW GARRETT
NEW YORK, NY 10169
Some features on this profile are disabled
CRD#: 2542630
NV
Professional summary
Nimalendra Vallipuram, who also goes by Nimal Vallipuram, is a registered financial professional currently at ANDREW GARRETT INC. located in New York, New York.
Nimalendra is registered as a RR (Registered Representative) and started their career in finance in 1994. Nimalendra has worked at 7 firms and has passed the Series 63, SIE, Series 16, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nimal Vallipuram
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.
CRS (Client Relationship Summary) - BD
Click below to view Nimalendra Vallipuram'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®
NoneExperience
Current
October 10, 2017 - Present
ANDREW GARRETT INC.
Office #1: 230 Park Ave 3rd Floor West, New York, NY 10169RIA
BD
CRD#: 29931
NEW YORK, NY
Past
March 23, 2009 - October 19, 2015
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
NEW YORK, NY
Past
March 20, 2006 - April 13, 2007
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
May 13, 2005 - March 13, 2006
THE BENCHMARK COMPANY, LLC
BD
CRD#: 22982
NEW YORK, NY
Past
August 17, 1999 - January 3, 2005
COMMERZ MARKETS LLC
BD
CRD#: 41957
NEW YORK, NY
Past
October 27, 1998 - July 8, 1999
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 29, 1994 - August 20, 1998
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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".
AG
ANDREW GARRETT INC.
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
RIA
Registered Investment Advisory firm - SEC (7/6/2010 Approved)California
Registered Investment Advisory firm - SEC (11/29/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/6/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Montana
Registered Investment Advisory firm - SEC (3/14/2019 Terminated)New York
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Texas
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(10/10/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AG
ANDREW GARRETT INC.
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
RIA
Registered Investment Advisory firm - SEC (7/6/2010 Approved)California
Registered Investment Advisory firm - SEC (11/29/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/6/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Montana
Registered Investment Advisory firm - SEC (3/14/2019 Terminated)New York
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Texas
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave 3rd Floor West, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-8833
Established
Delaware since 04/19/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
13
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | |
| ESTATE OF JESSE UPCHURCH | SHARE HOLDER | |
| PLAINS CAPITAL BANK | EXECUTOR OF ESTATE | |
| CANNIZZARO-FONG, JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP | 4249300 |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | 1496683 |
| MITCHELL, JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER | 1374268 |
| SYCOFF, ANDREW GARRETT | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2119089 |
Regulatory assets under management
| Total Number of Accounts | 1,402 |
| AUM (Assets Under Management) | $ 663,049,158 |
Disclosures
| Regulatory Event | 15 |
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.
