Rajiv N. Dixit

PARKS CAPITAL

Pittsford, NY 14534

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CRD#: 5144936

Professional summary

Rajiv Nath Dixit, who also goes by Rajiv Nath Dikshit, is a registered financial advisor currently at PARKS CAPITAL located in Pittsford, New York and SERENITY CAPITAL ADVISORS INC. located in Pittsford, New York.

Rajiv is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Rajiv has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rajiv Nath Dikshit

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 Rajiv Nath Dixit'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

October 19, 2010 - Present

PARKS CAPITAL

Office #1: 145 Sully's Trail Suite 5, Pittsford, NY 14534

RIA

CRD#: 138121

Pittsford, NY

Current

September 8, 2025 - Present

SERENITY CAPITAL ADVISORS INC.

RIA

CRD#: 332396

PITTSFORD, NY

Past

August 4, 2009 - October 17, 2014

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629

PITTSFORD, NY

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".

PARKS CAPITAL

PARKS CAPITAL | WINDOWMAKER, LLC | RALPH PARKS INVESTMENT GROUP, LLC | RALPH PARKS INVESTMENT GROUP LLC

CRD#: 138121 / SEC#: 801-65169

RIA

Registered Investment Advisory firm - (1/18/2006 Approved)

California

Registered Investment Advisory firm - (10/11/2006 Cancelled)

Florida

Registered Investment Advisory firm - (3/16/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (3/19/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(11/16/2010)

IAR

New York
(6/2/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/1/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/17/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2009

General Securities Representative Examination

Current Firm

PARKS CAPITAL

PARKS CAPITAL | WINDOWMAKER, LLC | RALPH PARKS INVESTMENT GROUP, LLC | RALPH PARKS INVESTMENT GROUP LLC

CRD#: 138121 / SEC#: 801-65169

RIA

Registered Investment Advisory firm - (1/18/2006 Approved)

California

Registered Investment Advisory firm - (10/11/2006 Cancelled)

Florida

Registered Investment Advisory firm - (3/16/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (3/19/2018 Terminated)

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Contact information

Main Address

145 Sully's Trail Suite 5, Pittsford, NY 14534

Mailing Address

Phone number

(585) 248-5700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PARKS CAPITAL FORM ADV2A ("DISCLOSURE BROCHURE") AND FORM ADV2B ("BROCHURE SUPPLEMENTS") (9/2/2025)

Regulatory assets under management

Total Number of Accounts	315
AUM (Assets Under Management)	$ 82,920,313

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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Rajiv N. Dixit

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rajiv Nath Dixit's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARKS CAPITAL

SERENITY CAPITAL ADVISORS INC.

ASHTON THOMAS SECURITIES, LLC

Primary Firm SEC Registration

PARKS CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2009

SIE

Date: 10/17/2014

Series 7

Date: 8/3/2009

Current Firm

PARKS CAPITAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARKS CAPITAL

TRUST BUT VERIFY

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