Vijay P. Karwal
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.
Vijay Paul Karwal was a registered financial professional .
Vijay is a previously registered financial professional and started their career in finance in 1998. Vijay had worked at 5 firms and has passed the Series 63, SIE, 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
January 30, 2013 - December 1, 2015
CGS INTERNATIONAL SECURITIES USA, INC.
December 12, 2008 - November 20, 2012
NATWEST MARKETS SECURITIES INC.
August 1, 2008 - December 12, 2008
RBS SECURITIES CORPORATION
April 23, 2001 - August 1, 2008
ABN AMRO INCORPORATED
August 2, 2000 - April 26, 2001
FIVE ARROWS CAPITAL MARKETS LLC
December 17, 1998 - April 4, 2001
ABN AMRO INCORPORATED
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
CGS INTERNATIONAL SECURITIES USA, INC.
CRD#: 141892 / SEC#: , 8-67414
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CGS INTERNATIONAL SECURITIES PTE. LTD. | STOCKHOLDER | |
| CHIN-LUK, HELEN JADE | SENIOR VP, FINOP, CCO, CEO | 2292149 |
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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