Niti Pandey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Niti Pandey was a registered financial professional .
Niti is a previously registered financial professional and started their career in finance in 1995. Niti had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2008 - July 19, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 17, 2004 - July 19, 2017
TD AMERITRADE, INC.
July 13, 1996 - July 19, 2017
TD AMERITRADE, INC.
May 22, 1995 - July 2, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 30, 1995 - July 13, 1995
M.S. FARRELL & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/6/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
