VA
Vikrant N. Arya
NUVEEN ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5344075
VA
Professional summary
Vikrant Nahal Arya, who also goes by VIkrant N Arya, is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in San Francisco, California.
Vikrant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Vikrant has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vikrant N Arya
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.
Name: Defined Contribution Institutional Investment Association (DCIIA) Position: 1) Member At-Large Executive Committee 2) Leadership Committee Member DE&I Sub-Committee Nature: I am going to be serving on the Executive Committee but it is not a formal board in the traditional sense. The Defined Contribution Institutional Investment Association (DCIIA) is a non-profit association dedicated to enhancing the retirement security of America's workers. To do this DCIIA fosters a dialogue among the leaders of the defined contribution community who are passionate about improving defined contribution outcomes. DCIIA's diverse group of members include investment managers consultants and advisors law firms record keepers insurance companies plan sponsors and other thought leaders. Investment Related: No Hours: 1 Securities Trading Hours: no more than a few hours per quarter Start Date: 2/14/2022 Address: 2001 K St. NW, #300, Washington, DC 20006 Description: DCIIA's Executive Committee is the primary advisory body for the organization. The Executive Committee helps set DCIIA's strategic direction and priorities for research and thought leadership. The DE&I Sub-Committee is tasked with exploring ways that DCIIA can increase awareness and visibility of diversity equity and inclusion in the DC industry.
CRS (Client Relationship Summary) - RIA
Click below to view Vikrant Nahal Arya'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
October 18, 2021 - Present
NUVEEN ASSET MANAGEMENT, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606RIA
CRD#: 155584
Chicago, IL
Current
October 11, 2021 - Present
NUVEEN SECURITIES, LLC
Office #1: 560 Mission Street, San Francisco, CA 94105BD
CRD#: 469
SAN FRANCISCO, CA
Past
November 23, 2009 - June 24, 2021
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
Washington, DC
Past
October 27, 2009 - June 24, 2021
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
WASHINGTON DC, DC
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".
NA
NUVEEN ASSET MANAGEMENT, LLC
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
RIA
Registered Investment Advisory firm - (11/24/2010 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.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(10/11/2021)
RR
Alaska(10/11/2021)
RR
Arizona(10/11/2021)
RR
Arkansas(10/11/2021)
RR
California(10/11/2021)
RR
Colorado(10/11/2021)
RR
Connecticut(10/11/2021)
RR
Delaware(10/11/2021)
RR
District of Columbia(10/11/2021)
RR
Florida(10/11/2021)
RR
Georgia(10/11/2021)
RR
Hawaii(10/11/2021)
RR
Idaho(10/11/2021)
RR
Illinois(10/11/2021)
IAR
Illinois(10/18/2021)
RR
Indiana(10/11/2021)
RR
Iowa(10/11/2021)
RR
Kansas(10/11/2021)
RR
Kentucky(10/11/2021)
RR
Louisiana(10/11/2021)
RR
Maine(10/11/2021)
RR
Maryland(10/11/2021)
RR
Massachusetts(10/11/2021)
RR
Michigan(10/11/2021)
RR
Minnesota(10/11/2021)
RR
Mississippi(10/11/2021)
RR
Missouri(10/11/2021)
RR
Montana(10/11/2021)
RR
Nebraska(10/11/2021)
RR
Nevada(10/11/2021)
RR
New Hampshire(10/11/2021)
RR
New Jersey(10/11/2021)
RR
New Mexico(10/11/2021)
RR
New York(10/11/2021)
RR
North Carolina(10/11/2021)
RR
North Dakota(10/11/2021)
RR
Ohio(10/12/2021)
RR
Oklahoma(10/11/2021)
RR
Oregon(10/11/2021)
RR
Pennsylvania(10/11/2021)
RR
Puerto Rico(10/11/2021)
RR
Rhode Island(10/11/2021)
RR
South Carolina(10/11/2021)
RR
South Dakota(10/11/2021)
RR
Tennessee(10/11/2021)
RR
Texas(10/11/2021)
RR
Utah(10/11/2021)
RR
Vermont(10/11/2021)
RR
Virgin Islands(10/11/2021)
RR
Virginia(10/11/2021)
RR
Washington(10/11/2021)
RR
West Virginia(10/11/2021)
RR
Wisconsin(10/11/2021)
RR
Wyoming(10/11/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NUVEEN ASSET MANAGEMENT, LLC
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
RIA
Registered Investment Advisory firm - (11/24/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
333 West Wacker Drive, Chicago, IL 60606
Mailing Address
Phone number
(312) 917-7700
Established
Firm type
Fiscal year end
# of Employees
373
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 71,370 |
| AUM (Assets Under Management) | $ 259,916,966,911 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/21/2025 | ||
| 12/19/2024 | ||
| 12/15/2023 | ||
| 12/15/2022 |
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.
