Vineet V. Naik
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.
Vineet Vijay Naik, who also goes by Naik VIjay Vineet, Naik Vineet, was a registered financial professional .
Vineet is a previously registered financial professional and started their career in finance in 2007. Vineet had worked at 3 firms and has passed the Series 63 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
December 19, 2022 - December 31, 2023
NAIK COMPANY, LLC
July 17, 2009 - June 10, 2011
COMMONFUND SECURITIES, INC.
September 7, 2007 - February 6, 2009
CITIGROUP GLOBAL MARKETS INC.
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
NAIK COMPANY, LLC
CRD#: 281329 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 2,431,182 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 6/22/2017 |
| North Carolina | ERA - Withdrawn | 11/14/2022 |
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.
