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Vikram Madhav Lokur

CRD# 3031317·Registered 1999 - 2013
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 Madhav Lokur, who also goes by VIkram Madmav Lokur, was a registered financial advisor. Vikram was a previously registered financial professional and started their career in finance 1999 - 2013. Vikram had worked at 5 firms and has passed the Series 66, Series 3, 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 Madmav Lokur

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

27 years in the financial services industry

Current & Past Employments

DMS CAPITAL SOLUTIONS, INC.·CRD# 150695
BD
New York, NY
August 13, 2010 - February 5, 2013
RESOURCE SECURITIES LLC·CRD# 133022
BD
New York, NY
January 23, 2007 - August 16, 2010
ANTHEM SECURITIES, INC.·CRD# 42420
BD
Philadelphia, PA
March 3, 2005 - January 22, 2007
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
RIA
New York, NY
January 8, 2003 - January 19, 2005
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
January 8, 2003 - January 19, 2005
MORGAN STANLEY & CO. LLC·CRD# 8209
RIA
New York, NY
May 22, 2002 - January 10, 2003
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
New York, NY
October 6, 1999 - January 10, 2003

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Current Firm

DC
DMS CAPITAL SOLUTIONS, INC.

ARGENTHAL & CO. INC. | FIMERIS INC. | FIDEQUITY INC. | DMS CAPITAL SOLUTIONS, INC.

CRD#: 150695 / SEC#: 8-68283
BD
Terminated by SEC on 08/10/2019

Contact Information

Established

New York since 12/03/2008

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
ARGENTHAL & CO., LTD.CLASS A SHAREHOLDER—
BOYLAN, WADE CHRISTOPHERBOARD MEMBER5315272
CHAN, HOYU (NMN)FINOP6313414
DAGOSTINO, JOHN JOSEPHCEO & DIRECTOR4594429
GLASHEEN, JOHN JAMES JRCCO1113449
WOOLVERTON, WILLIAM HENDERSONBOARD MEMBER1494141

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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 66 — Uniform Combined State Law Examination

Passed Oct 1999About the Series 66 exam

Series 3 — National Commodity Futures Examination

Passed Oct 1999About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Oct 1999About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 2010About 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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