Vikram P. Grover
Professional summary
Being a previously registered professional could mean that this person 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.
Vikram Paul Grover, who also goes by VIk Paul Grover, Vikram Grover, was a registered financial professional .
Vikram is a previously registered financial professional and started their career in finance in 1994. Vikram had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2006 - July 13, 2015
SOURCE CAPITAL GROUP, INC.
November 21, 2006 - July 13, 2015
SOURCE CAPITAL GROUP, INC.
February 10, 2006 - November 10, 2006
MERRIMAN CAPITAL, INC.
January 19, 2005 - February 2, 2006
THOMAS WEISEL PARTNERS LLC
September 9, 2003 - January 18, 2005
NEEDHAM & COMPANY, LLC
February 20, 1998 - September 16, 2003
KAUFMAN BROS., L.P.
November 14, 1995 - January 23, 1998
STERNE, AGEE & LEACH, INC.
August 26, 1994 - October 26, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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