Shalini N. Sharma

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Chicago, IL 60606

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CRD#: 4315710

Professional summary

Shalini Nmn Sharma, who also goes by Shalini Nmn Sharma, is a registered financial advisor currently at DUFF & PHELPS INVESTMENT MANAGEMENT CO. located in Chicago, Illinois and VP DISTRIBUTORS LLC located in Chicago, Illinois.

Shalini is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Shalini has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shalini Nmn Sharma

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) - RIA

Click below to view Shalini Nmn Sharma'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®

None

Experience

Current

April 28, 2006 - Present

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Office #1: 10 S. Wacker Drive 19th Floor, Chicago, IL 60606

RIA

CRD#: 107296

Chicago, IL

Current

February 16, 2001 - Present

VP DISTRIBUTORS LLC

Office #1: 10 S. Wacker Drive 19th Floor, Chicago, IL 60606

CRD#: 3036

Chicago, IL

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".

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296 / SEC#: 801-14813

RIA

Registered Investment Advisory firm - (7/2/1979 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Illinois
(11/7/2001)

IAR

Illinois
(5/1/2006)

IAR

Texas
(4/28/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/6/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296 / SEC#: 801-14813

RIA

Registered Investment Advisory firm - (7/2/1979 Approved)

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Contact information

Main Address

10 S. Wacker Drive 19th Floor, Chicago, IL 60606

Mailing Address

Phone number

(312) 263-2610

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DPIM ADV PART2A 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 12,227,914,131

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.

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Shalini N. Sharma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shalini Nmn Sharma's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/6/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/15/2001

FINRA

Current Firm

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

TRUST BUT VERIFY

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