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Vishal Birsingh

CRD# 4420546·Registered 2001 - 2014
Previously Registered: Being a previously registered professional could mean that Vishal 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.

Professional Summary

Vishal Birsingh was a registered financial advisor. Vishal was a previously registered financial professional and started their career in finance 2001 - 2014. Vishal had worked at 16 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

AVENIR FINANCIAL GROUP·CRD# 148490
BD
New York, NY
December 6, 2012 - July 7, 2014
OLSON, CROSS & ALAMO LLC·CRD# 157249
BD
Brooklyn, NY
July 31, 2012 - December 10, 2012
U.S. FINANCIAL INVESTMENTS, INC.·CRD# 120804
BD
New York, NY
September 21, 2010 - May 13, 2011
LAMPERT CAPITAL MARKETS INC.·CRD# 103725
BD
Ny, NY
July 28, 2010 - October 19, 2010
LEGEND SECURITIES, INC.·CRD# 44952
BD
New York, NY
April 2, 2010 - July 9, 2010
UNION FINANCIAL CORP.·CRD# 30650
BD
New York, NY
July 20, 2009 - February 16, 2010
NEWOAK CAPITAL MARKETS LLC·CRD# 104063
BD
New York, NY
February 11, 2009 - April 15, 2009
JOHN THOMAS FINANCIAL·CRD# 40982
BD
Middletown, NY
September 8, 2008 - December 2, 2008
JHS CAPITAL ADVISORS, LLC·CRD# 112097
BD
Middletown, NY
August 8, 2008 - September 3, 2008
EMPIRE FINANCIAL GROUP, INC.·CRD# 28759
BD
New York, NY
January 16, 2008 - August 12, 2008
JESUP & LAMONT SECURITIES CORP·CRD# 39056
BD
Edison, NJ
December 5, 2007 - August 12, 2008
WINDSOR STREET CAPITAL, LP·CRD# 34171
BD
New York, NY
October 18, 2004 - December 19, 2007
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
April 29, 2004 - October 19, 2004
S.W. BACH & COMPANY·CRD# 43522
BD
Port Washington, NY
April 27, 2004 - April 28, 2004
HARRISON SECURITIES, INC.·CRD# 14103
BD
Port Washington, NY
April 21, 2003 - April 27, 2004
THINKEQUITY LLC·CRD# 20996
BD
New York, NY
July 11, 2001 - February 4, 2003

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Current Firm

AF
AVENIR FINANCIAL GROUP

AVENIR FINANCIAL GROUP | AVENIR FINANCIAL GROUP, INC.

CRD#: 148490 / SEC#: 8-68031
BD
Terminated by SEC on 05/11/2016

Contact Information

Established

Wyoming since 07/26/2010

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ALLEN, DAVID ARTHURPASSIVE INVESTOR2500427
CLEMENTS, MICHAEL TODDCEO,CCO1702071
PASQUESI, MAUROPASSIVE INVESTOR OWNER6148602
BABOULIS, LINDAPASSIVE INVESTOR6441448
CLEMENTS, JUDITHPASSIVE INVESTOR6432441

Disclosures

Regulatory Event

4

Arbitration

3

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 2001About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 2007About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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