Vishal Tayal
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 Tayal was a registered financial professional .
Vishal is a previously registered financial professional and started their career in finance in 2005. Vishal had worked at 5 firms and has passed the Series 63, SIE 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
February 14, 2017 - August 19, 2019
OCEAN TOMO INVESTMENT GROUP, LLC
January 15, 2016 - August 25, 2016
VAQUERO CAPITAL LLC
June 26, 2014 - September 30, 2015
GROWTH CAPITAL SERVICES, INC.
April 5, 2011 - January 28, 2014
ERNST & YOUNG CAPITAL ADVISORS, LLC
February 21, 2005 - April 2, 2009
BANC OF AMERICA SECURITIES 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
Current Firm
OCEAN TOMO INVESTMENT GROUP, LLC
CRD#: 172912 / SEC#: , 8-69526
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OCEAN TOMO, LLC | SOLE MEMBER | |
| SPINDEL, HOWARD | CEO/CCO | 708042 |
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.
