Nishant A. Deshpande
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.
Nishant A Deshpande was a registered financial professional .
Nishant is a previously registered financial professional and started their career in finance in 2018. Nishant had worked at 2 firms and has passed the Series 66, SIE 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
October 29, 2018 - October 26, 2020
HEARTLAND ADVISORS, INC.
September 12, 2018 - October 29, 2020
ALPS DISTRIBUTORS, INC.
Primary Firm SEC Registration
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
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
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
Contact information
SEC notice filing (17 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 1,885,901,565 |
Disclosures
| Regulatory Event | 3 |
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.
