VS
Vishaw Sondhi
TUCKER ASSET MANAGEMENT LLC
Eastontown, NJ 07728
Some features on this profile are disabled
CRD#: 3046706
VS
Professional summary
Vishaw Sondhi, who also goes by VIshaw Sondhi, is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Eastontown, New Jersey and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Vishaw is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Vishaw has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vishaw Sondhi
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.
1.) VISHAW SONDHI, CPA P.C. - 10/01/1998 - 100 Broad Street, Eatontown, NJ 07724 - Owner, Managing the practice, Not Invt Rel, Accounting & tax services, 100 hrs/mo; 100 hrs/mo (during trading hours) 2.) TUCKER ASSET MANAGEMENT - 11/1/2022 - 1520 W Canal Court, Littleton, CO 80120 - IAR, Invt Rel, RA business, 120 hrs/mo; 120 hrs/mo (during trading hours). 3.) INTEGRATED FINANCIAL CONCEPTS LLC - 11/1/2014 - 200 Schulz Drive, Suite 125, Red Bank, NJ - Insurance broker, Sales, Not Invt Rel, Insurance business, 80 hrs/mo; 80 hrs/mo (during trading hours)
CRS (Client Relationship Summary) - RIA
Click below to view Vishaw Sondhi'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
November 1, 2022 - Present
TUCKER ASSET MANAGEMENT LLC
Office #1: 100 Broad Street, Eastontown, NJ 07728RIA
CRD#: 174844
Eastontown, NJ
Current
November 1, 2022 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
January 19, 2016 - November 2, 2022
EQUITY SERVICES, INC.
RIA
CRD#: 265
EATONTOWN, NJ
Past
December 21, 2015 - November 2, 2022
EQUITY SERVICES, INC.
BD
CRD#: 265
EATONTOWN, NJ
Past
July 3, 2002 - December 22, 2015
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
EATONTOWN, NJ
Past
September 14, 1998 - December 22, 2015
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
EATONTOWN, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(11/1/2022)
RR
Florida(11/1/2022)
RR
Maine(1/3/2023)
RR
New Jersey(11/1/2022)
IAR
New Jersey(11/1/2022)
RR
New York(11/1/2022)
RR
North Carolina(7/9/2025)
RR
Ohio(7/11/2025)
RR
Pennsylvania(11/1/2022)
RR
Texas(11/1/2022)
RR
Wisconsin(11/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1520 West Canal Court Suite 100, Littleton, CO 80120
Mailing Address
Phone number
(303) 734-1234
Established
Firm type
Fiscal year end
# of Employees
80
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,243 |
| AUM (Assets Under Management) | $ 640,805,363 |
Red Flags
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.
