Vishal Rajput
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.
Vishal Rajput was a registered financial professional .
Vishal is a previously registered financial professional and started their career in finance in 2001. Vishal had worked at 6 firms and has passed the Series 65, Series 63, Series 55, 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 31, 2012 - May 31, 2012
TD AMERITRADE, INC.
January 31, 2012 - May 31, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 31, 2012 - May 31, 2012
TD AMERITRADE, INC.
July 24, 2006 - January 18, 2012
CHASE INVESTMENT SERVICES CORP.
July 21, 2006 - January 18, 2012
CHASE INVESTMENT SERVICES CORP.
November 18, 2004 - May 31, 2005
EQUITABLE ADVISORS, LLC
April 12, 2004 - August 6, 2004
EQUITABLE ADVISORS, LLC
October 9, 2002 - March 16, 2004
FISERV INVESTOR SERVICES, INC.
June 26, 2001 - November 15, 2001
RUMSON CAPITAL, 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
Series 55
Date: 7/16/2001
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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