Monika L. Gupta
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.
Monika L Gupta, who also goes by Monika Lovely Alipuria, Monika Alipuria, Monika L Gupta, Monika Lovely Gupta, was a registered financial professional .
Monika is a previously registered financial professional and started their career in finance in 2004. Monika had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2025 - January 7, 2026
VIVALDI CAPITAL MANAGEMENT LP
April 28, 2023 - December 16, 2024
BIECHELE ROYCE ADVISORS, INC.
March 7, 2017 - January 17, 2023
U.S. BANCORP INVESTMENTS, INC.
March 6, 2017 - January 17, 2023
U.S. BANCORP INVESTMENTS, INC.
November 27, 2012 - March 22, 2017
J.P. MORGAN SECURITIES LLC
November 27, 2012 - March 22, 2017
J.P. MORGAN SECURITIES LLC
September 27, 2010 - July 13, 2012
EDWARD JONES
August 31, 2010 - July 13, 2012
EDWARD JONES
November 1, 2004 - March 23, 2005
ESSEX NATIONAL SECURITIES, LLC
January 8, 2004 - October 25, 2004
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
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
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,413 |
| AUM (Assets Under Management) | $ 4,647,085,822 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 07/22/2024 | ||
| 10/24/2023 |
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.
