Career
Shanak Patnaik has been Chief Compliance Officer of Schroder Investment Management North America since January 2025. Shanak Patnaik is not listed as a control person, but directly owns under 5% of the firm.
Schroder Investment Management North America Inc is a New York, NY firm with $150B under management, 426 clients and 110 advisers across 4 offices, as of its March 2026 filing.
No adviser firm registrations are on Shanak Patnaik’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 24 February 2015 |
| Series 7 | General Securities Representative Examination | 26 August 2014 |
- Name
- Compliance Officer Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Shanak Patnaik
- CRD
- 6184296
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Shanak Patnaik work?
Shanak Patnaik has been Chief Compliance Officer of Schroder Investment Management North America Inc since January 2025.
Does Shanak Patnaik have a current investment-adviser registration?
Shanak Patnaik has a current broker registration and no current investment-adviser registration.
What exams has Shanak Patnaik passed?
Shanak Patnaik has passed 3 licensing exams: the Series 7, Series 24 and Series 14. The earliest, the Series 7, was passed in August 2014. FINRA credited Shanak Patnaik with the SIE, which began in October 2018.