VG
Vikas Goel
WESTPARK CAPITAL
Irvine, CA 92614
Some features on this profile are disabled
CRD#: 3165104
VG
Professional summary
Vikas Goel, who also goes by VIk Goel, Goel, is a registered financial advisor currently at WESTPARK CAPITAL, INC. located in Irvine, California.
Vikas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Vikas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vik Goel | Goel
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.
THOMAS JANDT AND ASSOCIATES INC. POSITION: Sales Agent NATURE: Real Estate services will be offered to current clients as well as leads or referrals looking to buy/sell real estate. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 10/23/2019 ADDRESS: 822 Meridian Lane, Corona CA 92882, United States DESCRIPTION: Service current clients and potentially new clients looking to buy/sell real estate. THOMAS JANDT REAL ESTATE BROKER POSITION: Salesperson NATURE: Real Estate Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/14/2024 ADDRESS: 822 Meridian Lane, Corona CA 92882, United States DESCRIPTION: Study property listings, meet with prospective clients, accompany clients to property site, discuss conditions of sale, and draw up real estate contracts.
CRS (Client Relationship Summary) - RIA
Click below to view Vikas Goel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vikas Goel'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
July 18, 2016 - Present
WESTPARK CAPITAL, INC.
Office #1: 2030 Main Street Suite 210, Irvine, CA 92614RIA
BD
CRD#: 39914
Irvine, CA
Current
July 15, 2016 - Present
WESTPARK CAPITAL, INC.
Office #1: 2030 Main Street Suite 210, Irvine, CA 92614RIA
BD
CRD#: 39914
Irvine, CA
Past
February 3, 2012 - July 20, 2016
NEWPORT COAST SECURITIES, INC.
RIA
CRD#: 16944
IRVINE, CA
Past
November 7, 2011 - July 20, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
IRVINE, CA
Past
July 1, 2009 - September 13, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
ORANGE, CA
Past
June 30, 2009 - September 13, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
ORANGE, CA
Past
May 2, 2009 - July 7, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
ANAHEIM HILLS, CA
Past
May 2, 2009 - July 7, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
ANAHEIM HILLS, CA
Past
April 7, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
ANAHEIM HILLS, CA
Past
December 21, 2005 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
ANAHEIM HILLS, CA
Past
June 29, 2004 - December 16, 2005
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
November 10, 2003 - June 24, 2004
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
November 27, 2002 - May 13, 2003
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
June 4, 2001 - June 17, 2002
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
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".
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
CRD#: 39914 / SEC#: 801-108275, 8-48898
RIA
Registered Investment Advisory firm - SEC (9/7/2016 Approved)California
Registered Investment Advisory firm - SEC (10/14/2016 Terminated)New York
Registered Investment Advisory firm - SEC (9/14/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Arizona(2/19/2025)
IAR
Arizona(2/19/2025)
RR
California(7/15/2016)
IAR
California(7/18/2016)
RR
Idaho(3/2/2022)
RR
Massachusetts(3/8/2021)
IAR
Massachusetts(9/27/2022)
RR
Oregon(7/9/2021)
RR
Texas(7/15/2016)
IAR
Texas(10/5/2016)
RR
Washington(11/2/2021)
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
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
CRD#: 39914 / SEC#: 801-108275, 8-48898
RIA
Registered Investment Advisory firm - SEC (9/7/2016 Approved)California
Registered Investment Advisory firm - SEC (10/14/2016 Terminated)New York
Registered Investment Advisory firm - SEC (9/14/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1800 Century Park East 22nd Floor, New York, NY 10017
Mailing Address
1800 Century Park East Suite 220, Los Angeles, CA 90067
Phone number
(310) 843-9300
Established
Michigan since 09/05/2025
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
15
SEC notice filing (21 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 47,569,260 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
