AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NS

Nigam H. Saraiya

BESTEX RESEARCH SECURITIES
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 5498898
NS

Professional summary

Nigam Harish Saraiya is a registered financial professional currently at BESTEX RESEARCH SECURITIES, LLC located in Stamford, Connecticut.

Nigam is registered as a RR (Registered Representative) and started their career in finance in 2009. Nigam has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nigam Harish Saraiya'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®
None

Experience

Current

July 23, 2021 - Present

BESTEX RESEARCH SECURITIES, LLC

Office #1: 2 Landmark Square Suite 214, Stamford, CT 06901Office #2: 2 Landmark Square, Suite 214, Stamford, CT 06901
BD
CRD#: 309569
Stamford, CT
Past

June 20, 2019 - July 29, 2022

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI
Past

December 11, 2017 - March 12, 2018

WEEDEN & CO.L.P.

BD
CRD#: 16835
GREENWICH, CT
Past

November 25, 2009 - June 25, 2013

VIRTU ITG LLC

BD
CRD#: 29299
NEW YORK, NY

State Registrations and Notice Filings

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

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
California
(12/23/2021)
RR
Connecticut
(9/20/2021)
RR
Florida
(2/14/2022)
RR
Illinois
(2/16/2022)
RR
Massachusetts
(12/20/2021)
RR
New York
(10/16/2021)
RR
Ohio
(11/24/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/12/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BR
BESTEX RESEARCH SECURITIES, LLC
BESTEX RESEARCH SECURITIES, LLC

CRD#: 309569 / SEC#: , 8-70584

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2 Landmark Square Suite 214, Stamford, CT 06901
Mailing Address
2 Landmark Square Suite 214, Stamford, CT 06901
Phone number
(203) 989-9218
Established
Delaware since 04/23/2020
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BESTEX RESEARCH GROUP, LLCDIRECT OWNER
DERIAN, BEATRICECHIEF FINANCIAL OFFICER/FINOP6368396
MEROLLA, PAUL ANTHONY SR.CHIEF COMPLIANCE OFFICER1099818
MITTAL, HITESHCHIEF EXECUTIVE OFFICER4540871
SARAIYA, NIGAM HARISHCHIEF PRODUCT OFFICER5498898

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.

Company Information

BESTEX RESEARCH SECURITIES, LLC

CRD#: 309569Stamford, CT 06901

TRUST BUT VERIFY

Monitor Nigam Saraiya

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Randy Brickman
Randy BrickmanAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
NORTH WOODMERE, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.