Vivek Kapoor
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 Kapoor was a registered financial professional .
Vivek is a previously registered financial professional and started their career in finance in 2007. Vivek had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2017 - July 2, 2025
VOLARIS CAPITAL MANAGEMENT LLC
October 4, 2016 - January 26, 2017
CREDIT SUISSE SECURITIES (USA) LLC
May 7, 2012 - January 26, 2017
CREDIT SUISSE SECURITIES (USA) LLC
October 8, 2007 - March 19, 2012
CITIGROUP GLOBAL MARKETS INC.
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
Series 55
Date: 2/19/2010
Limited Representative-Equity Trader ExamCurrent Firm
VOLARIS CAPITAL MANAGEMENT LLC
CRD#: 286219 / SEC#: 801-108973
Contact information
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 229,200,000 |
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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