Arti Srivastava

UNIQUE WEALTH STRATEGIES

Hillsborough, CA

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CRD#: 6554350

Professional summary

Arti Srivastava, who also goes by Arti Srivastava Nath, Arti Nath, is a registered financial advisor currently at UNIQUE WEALTH STRATEGIES located in Hillsborough, California.

Arti is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Arti has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Arti Srivastava Nath | Arti Nath

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) - RIA

Click below to view Arti Srivastava's CRS (Customer Relationship Summary).

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

September 19, 2023 - Present

UNIQUE WEALTH STRATEGIES

RIA

CRD#: 323994

Hillsborough, CA

Past

June 24, 2020 - October 5, 2021

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

PORTOLA VALLEY, CA

Past

March 13, 2020 - October 5, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

PORTOLA VALLEY, CA

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".

UNIQUE WEALTH STRATEGIES

UNIQUE MULTI FAMILY OFFICE, LLC | UNIQUE WEALTH STRATEGIES

CRD#: 323994 / SEC#: 801-127067

RIA

Registered Investment Advisory firm - (12/16/2022 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.

Highlighted states indicate IAR registrations

IAR

California
(9/19/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/22/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/26/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/13/2020

Securities Industry Essentials Examination

Current Firm

UNIQUE WEALTH STRATEGIES

UNIQUE MULTI FAMILY OFFICE, LLC | UNIQUE WEALTH STRATEGIES

CRD#: 323994 / SEC#: 801-127067

RIA

Registered Investment Advisory firm - (12/16/2022 Approved)

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Contact information

Main Address

570 Village Center Drive, Ste 203, Burr Ridge, IL 60527

Mailing Address

Phone number

(630) 318-0565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UWS PART 2A BROCHURE (8/24/2025)

UWS WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	805
AUM (Assets Under Management)	$ 312,500,000

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.

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Arti Srivastava

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arti Srivastava's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNIQUE WEALTH STRATEGIES

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

UNIQUE WEALTH STRATEGIES

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2020

Series 7TO

Date: 3/26/2024

SIE

Date: 1/13/2020

Current Firm

UNIQUE WEALTH STRATEGIES

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNIQUE WEALTH STRATEGIES

TRUST BUT VERIFY

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