Samir (. Sikka
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.
Samir (nmn) Sikka, who also goes by Samir Sikka, was a registered financial professional .
Samir is a previously registered financial professional and started their career in finance in 1997. Samir had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2017 - March 26, 2026
SAPIENCE INVESTMENTS, LLC
June 29, 1998 - March 31, 1999
UBS SECURITIES LLC
December 9, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
Primary Firm SEC Registration
SAPIENCE INVESTMENTS, LLC
CRD#: 284720 / SEC#: 801-108274
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
Current Firm
SAPIENCE INVESTMENTS, LLC
CRD#: 284720 / SEC#: 801-108274
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 184,694,061 |
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.
