Vivek Goyal
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 Goyal was a registered financial professional .
Vivek is a previously registered financial professional and started their career in finance in 2006. Vivek had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2014 - December 26, 2023
LUMOS PARTNERS, LLC
May 21, 2014 - January 2, 2015
KEMA PARTNERS LLC
December 19, 2011 - March 25, 2014
VISTA POINT ADVISORS, LLC
October 17, 2011 - December 16, 2011
KEMA PARTNERS LLC
September 12, 2006 - May 13, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
LUMOS PARTNERS, LLC
CRD#: 165050 / SEC#: , 8-69141
Contact information
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.
