Nitya Malik
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.
Nitya Malik was a registered financial professional .
Nitya is a previously registered financial professional and started their career in finance in 2007. Nitya had worked at 3 firms and has passed the Series 63, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2014 - February 14, 2017
JNBA FINANCIAL ADVISORS, LLC
October 27, 2010 - December 12, 2012
RMJB, INC.
November 16, 2007 - September 24, 2008
PIPER SANDLER & CO.
Primary Firm SEC Registration
JNBA FINANCIAL ADVISORS, LLC
CRD#: 106550 / SEC#: 801-21522
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JNBA FINANCIAL ADVISORS, LLC
CRD#: 106550 / SEC#: 801-21522
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,901 |
| AUM (Assets Under Management) | $ 1,683,609,117 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/17/2025 | ||
| 12/26/2024 | ||
| 02/23/2024 | ||
| 06/21/2023 |
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.
