UN
Uday Nandan
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
New York, NY 10017
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CRD#: 3246690
UN
Professional summary
Uday Nandan is a registered financial professional currently at PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC located in New York, New York.
Uday is registered as a RR (Registered Representative) and started their career in finance in 2000. Uday has worked at 7 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Uday Nandan'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
January 16, 2018 - Present
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
Office #1: 300 Madison Ave, New York, NY 10017BD
CRD#: 41461
New York, NY
Past
October 29, 2014 - January 19, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
January 26, 2012 - October 22, 2014
GEORGE K. BAUM CAPITAL ADVISORS, INC.
BD
CRD#: 158813
KANSAS CITY, MO
Past
January 3, 2011 - February 21, 2012
GEORGE K. BAUM ADVISORS LLC
RIA
CRD#: 130205
KANSAS CITY, MO
Past
August 27, 2008 - February 21, 2012
GEORGE K. BAUM & COMPANY
BD
CRD#: 36354
KANSAS CITY, MO
Past
July 25, 2005 - July 8, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 12, 2000 - January 15, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
Alabama(1/16/2018)
RR
Alaska(1/16/2018)
RR
Arizona(1/16/2018)
RR
Arkansas(1/16/2018)
RR
California(1/16/2018)
RR
Colorado(1/16/2018)
RR
Connecticut(1/16/2018)
RR
Delaware(1/16/2018)
RR
District of Columbia(1/16/2018)
RR
Florida(1/16/2018)
RR
Georgia(1/16/2018)
RR
Hawaii(1/16/2018)
RR
Idaho(1/16/2018)
RR
Illinois(1/16/2018)
RR
Indiana(1/16/2018)
RR
Iowa(1/16/2018)
RR
Kansas(1/16/2018)
RR
Kentucky(1/16/2018)
RR
Louisiana(1/16/2018)
RR
Maine(1/16/2018)
RR
Maryland(1/16/2018)
RR
Massachusetts(1/16/2018)
RR
Michigan(1/16/2018)
RR
Minnesota(1/16/2018)
RR
Mississippi(1/16/2018)
RR
Missouri(1/16/2018)
RR
Montana(1/16/2018)
RR
Nebraska(1/16/2018)
RR
Nevada(1/16/2018)
RR
New Hampshire(1/16/2018)
RR
New Jersey(1/16/2018)
RR
New Mexico(1/16/2018)
RR
New York(1/16/2018)
RR
North Carolina(1/16/2018)
RR
North Dakota(1/16/2018)
RR
Ohio(1/16/2018)
RR
Oklahoma(1/16/2018)
RR
Oregon(1/16/2018)
RR
Pennsylvania(1/16/2018)
RR
Puerto Rico(1/16/2018)
RR
Rhode Island(1/16/2018)
RR
South Carolina(1/16/2018)
RR
South Dakota(1/16/2018)
RR
Tennessee(1/16/2018)
RR
Texas(1/16/2018)
RR
Utah(1/16/2018)
RR
Vermont(1/16/2018)
RR
Virgin Islands(1/16/2018)
RR
Virginia(1/16/2018)
RR
Washington(1/16/2018)
RR
West Virginia(1/16/2018)
RR
Wisconsin(1/16/2018)
RR
Wyoming(1/16/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
COOPERS & LYBRAND SECURITIES L.L.C. | PWC CORPORATE ADVISORY AND RESTRUCTURING LLC | PRICEWATERHOUSECOOPERS SECURITIES LLC | PRICEWATERHOUSECOOPERS SECURITIES L.L.C. | PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC | PRICEWATERHOUSECOOPERS CORPORATE ADVISORY AND RESTRUCTURING LLC | PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
CRD#: 41461 / SEC#: , 8-49443
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1 N. Wacker Drive 6th Floor, Chicago, IL 60606
Mailing Address
1 N. Wacker Drive 6th Floor, Chicago, IL 60606
Phone number
(312) 298-2000
Established
Delaware since 06/25/1996
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PWC US BUSINESS ADVISORY LLP | SHAREHOLDER | |
| BRIDEN, STEPHEN JAMES | ACTING CCO AND POO | 6162493 |
| CHOPOORIAN, RONALD HAIG | MEMBER OF BOARD OF MANAGERS | 7970815 |
| GILL, MAUREEN | MEMBER OF BOARD OF MANAGERS | 7313897 |
| NIEMEYER, MEL JOHN | MEMBER OF BOARD OF MANAGERS | |
| ROONEY, THOMAS M | MEMBER OF BOARD OF MANAGERS | 6931609 |
| SCHASCHWARY, MICHAEL JOSEPH | ACTING FINOP AND PFO | 6001279 |
| WOLFE, HOWARD DEGRAFF III | PRESIDENT | 3049913 |
Disclosures
| Regulatory Event | 1 |
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.
