PJ
Pankaj Jha
NUVEEN SECURITIES
Mumbai, 700076
CRD#: 7969375
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PJ
Pankaj JhaNUVEEN SECURITIES
Professional summary
Pankaj Jha is a registered financial professional currently at NUVEEN SECURITIES, LLC .
Pankaj is registered as a RR (Registered Representative) and started their career in finance in 2025. Pankaj has worked at 1 firm and has passed the Series 7TO, SIE and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Pankaj Jha'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 5, 2025 - Present
NUVEEN SECURITIES, LLC
Office #1: Winchester Building, Powai Business Distric, Powai Unit # 701-704 7th Floor,unit # 801-804 8th Floor, Mumbai 700076BD
CRD#: 469
Mumbai,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
RR
Series 7TO
Date: 5/5/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS
CRD#: 469 / SEC#: , 8-13464
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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Company Information
NUVEEN SECURITIES, LLC
CRD#: 469Mumbai 700076TRUST BUT VERIFY
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