Vinod Naidu

SOF SPECTRUM CAPITAL MANAGEMENT

Sugar Land, TX

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CRD#: 7417424

Professional summary

Vinod Naidu is a registered financial advisor currently at SOF SPECTRUM CAPITAL MANAGEMENT, LLC located in Sugar Land, Texas.

Vinod is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Vinod has worked at 1 firm and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vinod Naidu'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

January 17, 2024 - Present

SOF SPECTRUM CAPITAL MANAGEMENT, LLC

RIA

CRD#: 316108

Sugar Land, TX

Past

February 11, 2022 - December 31, 2023

SOF SPECTRUM CAPITAL MANAGEMENT, LLC

RIA

CRD#: 316108

SUGAR LAND, TX

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

Texas
(1/17/2024)

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 65

Date: 12/6/2021

Uniform Investment Adviser Law Examination

Current Firm

SOF SPECTRUM CAPITAL MANAGEMENT, LLC

CRD#: 316108 / SEC#:

Texas

Registered Investment Advisory firm - (1/17/2024 Approved)

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Contact information

Main Address

Sugar Land, TX

Mailing Address

Phone number

(281) 830-1467

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	57
AUM (Assets Under Management)	$ 7,110,224

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Vinod Naidu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vinod Naidu's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOF SPECTRUM CAPITAL MANAGEMENT, LLC

SOF SPECTRUM CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2021

Current Firm

SOF SPECTRUM CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOF SPECTRUM CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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