NS
Nicholas P. Sarkos
ARIEL INVESTMENTS
Chicago, IL 60601-6505
Some features on this profile are disabled
CRD#: 6658896
NS
Professional summary
Nicholas Peter Sarkos is a registered financial advisor currently at ARIEL INVESTMENTS, LLC located in Chicago, Illinois and ARIEL DISTRIBUTORS, LLC located in Chicago, Illinois.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) ARIEL INVESTMENTS, LLC (INVEST-RELATED) 200 E. RANDOLPH DR., STE 2900 CHICAGO, IL 60601; 04/2023, INVST ADVISER FIRM, SENIOR MARKETING ASSOCIATE, TIME VARIES. 2) ARIEL ALTERNATIVES (INVEST-RELATED) 200 E. RANDOLPH DR., STE 2900 CHICAGO, IL 60601; 04/2023, INVST ADVISER FIRM, SENIOR MARKETING ASSOCIATE, TIME VARIES. 3) PROJECT LEVEL MANAGEMENT COMPANY, LLC (INVEST-RELATED) 200 E. RANDOLPH DR., STE 2900 CHICAGO, IL 60601; 05/2025, INVST ADVISER FIRM, SENIOR MARKETING ASSOCIATE, TIME VARIES.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Peter Sarkos'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®
NoneExperience
Current
May 8, 2023 - Present
ARIEL INVESTMENTS, LLC
Office #1: 200 East Randolph Street Suite 2900, Chicago, IL 60601-6505RIA
CRD#: 108211
Chicago, IL
Current
May 8, 2023 - Present
ARIEL DISTRIBUTORS, LLC
Office #1: 200 East Randolph Street Suite 2900, Chicago, IL 60601Office #2: 200 East Randolph Street Suite 2900, Chicago, IL 60601BD
CRD#: 38333
Chicago, IL
Past
January 17, 2018 - March 29, 2023
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
Chicago, IL
Past
September 18, 2017 - March 29, 2023
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
CHICAGO, IL
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".
AI
ARIEL INVESTMENTS, LLC
ARIEL CAPITAL MANAGEMENT INC | ARIEL INVESTMENTS, LLC | ARIEL CAPITAL MANAGEMENT, LLC | ARIEL CAPITAL MANAGEMENT, INC.
CRD#: 108211 / SEC#: 801-18767
RIA
Registered Investment Advisory firm - (4/15/1983 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.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
Alabama(5/8/2023)
RR
Alaska(5/8/2023)
RR
Arizona(5/8/2023)
RR
Arkansas(5/8/2023)
RR
California(5/8/2023)
RR
Colorado(5/8/2023)
RR
Connecticut(5/8/2023)
RR
Delaware(5/8/2023)
RR
District of Columbia(5/8/2023)
RR
Florida(5/8/2023)
RR
Georgia(5/8/2023)
RR
Hawaii(5/8/2023)
RR
Idaho(5/8/2023)
RR
Illinois(5/8/2023)
IAR
Illinois(5/8/2023)
RR
Indiana(5/8/2023)
RR
Iowa(5/8/2023)
RR
Kansas(5/8/2023)
RR
Kentucky(5/8/2023)
RR
Louisiana(5/8/2023)
RR
Maine(5/8/2023)
RR
Maryland(5/8/2023)
RR
Massachusetts(5/8/2023)
RR
Michigan(5/8/2023)
RR
Minnesota(5/8/2023)
RR
Mississippi(5/8/2023)
RR
Missouri(5/8/2023)
RR
Montana(5/8/2023)
RR
Nebraska(5/8/2023)
RR
Nevada(5/8/2023)
RR
New Hampshire(5/8/2023)
RR
New Jersey(5/8/2023)
RR
New Mexico(5/8/2023)
RR
New York(5/8/2023)
RR
North Carolina(5/8/2023)
RR
North Dakota(5/8/2023)
RR
Ohio(5/8/2023)
RR
Oklahoma(5/8/2023)
RR
Oregon(5/8/2023)
RR
Pennsylvania(5/8/2023)
RR
Puerto Rico(5/8/2023)
RR
Rhode Island(5/8/2023)
RR
South Carolina(5/8/2023)
RR
South Dakota(5/8/2023)
RR
Tennessee(5/8/2023)
RR
Texas(5/8/2023)
RR
Utah(5/8/2023)
RR
Vermont(5/8/2023)
RR
Virgin Islands(5/8/2023)
RR
Virginia(5/8/2023)
RR
Washington(5/8/2023)
RR
West Virginia(5/8/2023)
RR
Wisconsin(5/8/2023)
RR
Wyoming(5/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ARIEL INVESTMENTS, LLC
ARIEL CAPITAL MANAGEMENT INC | ARIEL INVESTMENTS, LLC | ARIEL CAPITAL MANAGEMENT, LLC | ARIEL CAPITAL MANAGEMENT, INC.
CRD#: 108211 / SEC#: 801-18767
RIA
Registered Investment Advisory firm - (4/15/1983 Approved)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
200 East Randolph Street Suite 2900, Chicago, IL 60601-6505
Mailing Address
Phone number
(312) 726-0140
Established
Firm type
Fiscal year end
# of Employees
120
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 168 |
| AUM (Assets Under Management) | $ 12,369,706,772 |
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.
