Vivek Sehgal
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 Sehgal, who also goes by Steven Seagal, was a registered financial professional .
Vivek is a previously registered financial professional and started their career in finance in 2005. Vivek had worked at 5 firms and has passed the Series 66, Series 63 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
March 8, 2011 - April 19, 2012
JAISM LLC
March 23, 2009 - January 11, 2011
NEWPORT COAST SECURITIES, INC.
March 23, 2009 - January 11, 2011
NEWPORT COAST SECURITIES, INC.
July 21, 2005 - March 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 2005 - March 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2005 - May 23, 2005
CARLTON CAPITAL INC.
March 18, 2005 - April 12, 2005
JOSEPH GUNNAR & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
JAISM LLC
CRD#: 156593 / SEC#:
Contact information
Red Flags
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