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Vikram Shankar Pandit

CRD# 1410197·Registered 1988 - 2015
Previously Registered: Being a previously registered professional could mean that Vikram is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Vikram Shankar Pandit, who also goes by VIkram Pandit, was a registered financial advisor. Vikram was a previously registered financial professional and started their career in finance 1988 - 2015. Vikram had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Vikram Pandit

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

38 years in the financial services industry

Current & Past Employments

FREEMAN & CO. SECURITIES LLC·CRD# 118939
BD
New York, NY
September 5, 2014 - September 30, 2015
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
July 16, 2007 - December 21, 2012
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
New York, NY
April 4, 1988 - April 25, 2005

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Current Firm

F&
FREEMAN & CO. SECURITIES LLC

FREECO SECURITIES LLC | FREEMAN & CO. SECURITIES LLC

CRD#: 118939 / SEC#: 8-53700
BD
Terminated by SEC on 03/06/2020

Contact Information

Established

Delaware since 08/25/1998

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
FREEMAN & CO. LLCMEMBER—
DANIELS, RICHARD MATTHEWFINOP5877964
FREEMAN, JAMES LEOPOLDCHAIRMAN213729
SAWHNEY, GAGANDEEPCCO4492629
WEBER, ERIC CHRISTOPHERCEO4492321

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2014About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 1990About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 1994About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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