Pankaj B. Naik

FRANKLIN DISTRIBUTORS

NEW YORK, NY 10010

Some features on this profile are disabled

CRD#: 3266883

Professional summary

Pankaj Balvantrai Naik, CFA, who also goes by Nick Naik, Pankaj B Naik, Pankaj Banantrai Naik, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.

Pankaj is registered as a RR (Registered Representative) and started their career in finance in 2000. Pankaj has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nick Naik | Pankaj B Naik | Pankaj Banantrai Naik

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) - BD

Click below to view Pankaj Balvantrai Naik'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®

CFA

Chartered Financial Analyst

Experience

Current

February 18, 2016 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: One Madison Avenue, New York, NY 10010

CRD#: 109064

NEW YORK, NY

Past

January 4, 2012 - February 18, 2016

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEW YORK, NY

Past

February 9, 2011 - November 28, 2011

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

March 26, 2004 - November 23, 2010

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

July 28, 2000 - February 6, 2003

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(2/18/2016)

Alaska
(2/18/2016)

Arizona
(2/18/2016)

Arkansas
(2/18/2016)

California
(2/18/2016)

Colorado
(2/18/2016)

Connecticut
(2/18/2016)

Delaware
(2/18/2016)

District of Columbia
(2/18/2016)

Florida
(2/18/2016)

Georgia
(2/18/2016)

Hawaii
(2/18/2016)

Idaho
(2/18/2016)

Illinois
(2/18/2016)

Indiana
(2/18/2016)

Iowa
(2/18/2016)

Kansas
(2/18/2016)

Kentucky
(2/18/2016)

Louisiana
(2/18/2016)

Maine
(2/18/2016)

Maryland
(2/18/2016)

Massachusetts
(2/18/2016)

Michigan
(2/18/2016)

Minnesota
(2/18/2016)

Mississippi
(2/18/2016)

Missouri
(2/18/2016)

Montana
(2/18/2016)

Nebraska
(2/18/2016)

Nevada
(2/18/2016)

New Hampshire
(2/18/2016)

New Jersey
(2/18/2016)

New Mexico
(2/18/2016)

New York
(2/18/2016)

North Carolina
(2/18/2016)

North Dakota
(2/18/2016)

Ohio
(2/18/2016)

Oklahoma
(2/18/2016)

Oregon
(2/18/2016)

Pennsylvania
(2/18/2016)

Rhode Island
(2/18/2016)

South Carolina
(2/18/2016)

South Dakota
(2/18/2016)

Tennessee
(2/18/2016)

Texas
(2/18/2016)

Utah
(2/18/2016)

Vermont
(2/18/2016)

Virginia
(2/18/2016)

Washington
(2/18/2016)

West Virginia
(2/18/2016)

Wisconsin
(2/18/2016)

Wyoming
(2/18/2016)

Exams

State Security Law Exam

Series 63

Date: 1/20/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/15/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Pankaj B. Naik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Pankaj Balvantrai Naik's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/20/2012

SIE

Date: 10/1/2018

Series 7

Date: 5/17/2004

Series 6

Date: 11/15/1999

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

Similar Advisors