Vishal V. Gandhi
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 Vikram Gandhi, who also goes by VIshal Gandhi, was a registered financial professional .
Vishal is a previously registered financial professional and started their career in finance in 2007. Vishal had worked at 4 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 9, 2015 - October 27, 2015
KPMG CORPORATE FINANCE LLC
January 18, 2011 - January 7, 2015
MTS SECURITIES, LLC
March 8, 2010 - November 19, 2010
JEFFERIES LLC
April 27, 2007 - June 2, 2009
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KPMG CORPORATE FINANCE LLC
CRD#: 103973 / SEC#: , 8-52462
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
