Vivek Pal
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.
Vivek Pal was a registered financial professional .
Vivek is a previously registered financial professional and started their career in finance in 2000. Vivek had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2016 - June 5, 2019
SEAPORT GLOBAL SECURITIES LLC
December 17, 2012 - August 12, 2016
JEFFERIES LLC
July 2, 2012 - August 29, 2012
VIRTU AMERICAS LLC
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
August 4, 2008 - January 3, 2011
KNIGHT LIBERTAS LLC
November 23, 2005 - June 4, 2008
UBS SECURITIES LLC
September 8, 2000 - November 24, 2004
GOLDMAN SACHS & CO. 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
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
