Aditi Gupta

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CRD#: 5165844

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.

Aditi Gupta was a registered financial professional .

Aditi is a previously registered financial professional and started their career in finance in 2009. Aditi had worked at 7 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

(1) CREO COLLEGE PREPARATORY CHARTER SCHOOL; NOT INVESTMENT RELATED; 524 COURTLANDT AVE, BRONX, NY 10451, USA; CREO COLLEGE PREP IS A TUITION-FREE, OPEN ENROLLMENT 5TH-8TH GRADE PUBLIC CHARTER SCHOOL IN THE BRONX THAT OPENED IN 2019. IN 2021-2022, WE ARE EDUCATING STUDENTS IN 5TH, 6TH, AND 7TH GRADES.; BOARD OF TRUSTEES; START: 08/2019; 04HRS/MO, NOT DURING TRADING HOURS; TRUSTEE AND FUNDRAISING COMMITTEE MEMBER. (2) IMENTOR; NOT INVESTMENT RELATED; 199 WATER ST, 8TH FLOOR, NEW YORK, NY 10038, USA; IMENTOR BUILDS MENTORING RELATIONSHIPS THAT EMPOWER STUDENTS FROM LOW-INCOME COMMUNITIES TO GRADUATE HIGH SCHOOL, SUCCEED IN COLLEGE, AND ACHIEVE THEIR AMBITIONS.; VOLUNTEER AND YOUNG EXECUTIVE BOARD MEMBER; START: 09/2010; 01HR/MO, NOT DURING TRADING HOURS; WORK WITH MENTEES TO DEVELOP STRONG PERSONAL RELATIONSHIPS, NURTURE A COLLEGE ASPIRATION, NAVIGATE THE COLLEGE APPLICATION PROCESS, AND BUILD CRITICAL SKILLS FOR COLLEGE SUCCESS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 19, 2022 - May 30, 2025

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

New York, NY

Past

January 19, 2022 - May 30, 2025

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

NEW YORK, NY

Past

March 5, 2020 - April 12, 2021

CAPITAL CLIENT GROUP, INC.

RIA

CRD#: 6247

LOS ANGELES, CA

Past

March 5, 2020 - April 12, 2021

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

LOS ANGELES, CA

Past

April 2, 2015 - January 29, 2020

PIMCO INVESTMENTS LLC

CRD#: 154957

NEW YORK, NY

Past

January 10, 2012 - March 20, 2015

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

January 10, 2012 - March 20, 2015

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

August 27, 2009 - December 21, 2011

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

August 11, 2009 - December 21, 2011

MORGAN STANLEY

CRD#: 149777

NEW YORK, 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".

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/26/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/23/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 10/5/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/10/2009

General Securities Representative Examination

Current Firm

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 Approved)

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Contact information

Main Address

1331 Spring Street Nw Suite 2500, Atlanta, GA 30309

Mailing Address

11 Greenway Plaza Suite 1000, Houston, TX 77046

Phone number

(404) 892-0896

Established

Firm type

Fiscal year end

# of Employees

2,872

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESCO ADVISERS, INC. FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	61,236
AUM (Assets Under Management)	$ 756,881,223,229

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
09/27/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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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Firm Stability Insights

Aditi Gupta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESCO DISTRIBUTORS, INC.

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

PIMCO INVESTMENTS LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

INVESCO ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2009

SIE

Date: 10/1/2018

Series 3

Date: 7/23/2015

Series 31

Date: 10/5/2009

Series 7

Date: 8/10/2009

Current Firm

INVESCO ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

INVESCO ADVISERS, INC.

TRUST BUT VERIFY

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