Vikas T. Pathani
Professional summary
Vikas T Pathani, who also goes by VIkas Pathani, is a registered financial advisor currently at J.P. MORGAN INVESTMENT MANAGEMENT INC. located in New York, New York.
Vikas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Vikas has worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Vikas T Pathani's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2021 - Present
J.P. MORGAN INVESTMENT MANAGEMENT INC.
Office #1: 277 Park Ave, New York, NY 10172December 8, 2020 - March 10, 2021
J.P. MORGAN PRIVATE INVESTMENTS INC.
October 1, 2008 - January 25, 2016
J.P. MORGAN SECURITIES LLC
September 28, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
Primary Firm SEC Registration
J.P. MORGAN INVESTMENT MANAGEMENT INC.
CRD#: 107038 / SEC#: 801-21011
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/10/2021)
Exams
Series 55
Date: 9/27/2010
Limited Representative-Equity Trader ExamCurrent Firm
J.P. MORGAN INVESTMENT MANAGEMENT INC.
CRD#: 107038 / SEC#: 801-21011
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 114,499 |
| AUM (Assets Under Management) | $ 2,985,273,722,862 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 01/25/2024 | ||
| 01/27/2023 |
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.
