Karan Sood

VEST FINANCIAL LLC

Mclean, VA 22102-5150

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CRD#: 5256243

Professional summary

Karan Sood is a registered financial advisor currently at VEST FINANCIAL LLC located in Mclean, Virginia and VEST SECURITIES, LLC located in Mclean, Virginia.

Karan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Karan has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 3, SIE, Series 17 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Vest Financial LLC; Investment Advisory firm; 8350 Broad Street, Suite 240, McLean, VA 22102; CEO and Portfolio Manager ; Start Date 07/2012; Approximately 160 hrs per month; 40 hours/week during security trading hours; Duties: Executive and Portfolio Management duties; Compensated through salary and management bonus tied to overall growth of business. 2) Vest Group; Holding Company; 8350 Broad Street, Suite 240, McLean, VA 22102; Managing Member; Less than 5 hour per month devoted to activity, some may be during trading hours; Role is to manage the passive legal entity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karan Sood's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 8, 2014 - Present

VEST FINANCIAL LLC

Office #1: 8350 Broad St Suite 240, Mclean, VA 22102-5150

RIA

CRD#: 165976

Mclean, VA

Current

May 23, 2022 - Present

VEST SECURITIES, LLC

Office #1: 8350 Broad Street Suite 240, Mclean, VA 22101

CRD#: 317379

Mclean, VA

Past

September 23, 2016 - June 13, 2022

FIRST DOMINION CAPITAL CORP.

CRD#: 16330

RICHMOND, VA

Past

September 6, 2012 - October 17, 2014

MATRIX CAPITAL GROUP, INC.

CRD#: 33364

NEW YORK, NY

Past

May 11, 2011 - June 5, 2012

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

May 15, 2007 - April 15, 2010

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VEST FINANCIAL LLC

CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL

CRD#: 165976 / SEC#: 801-77463

RIA

Registered Investment Advisory firm - (1/3/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/19/2025)

Colorado
(10/24/2024)

Kentucky
(9/3/2024)

Ohio
(7/28/2025)

Texas
(7/29/2025)

Utah
(8/16/2024)

IAR

Virginia
(12/8/2014)

Virginia
(6/15/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 3

Date: 8/10/2021

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 17

Date: 5/14/2007

Limited Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/5/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VEST FINANCIAL LLC

CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL

CRD#: 165976 / SEC#: 801-77463

RIA

Registered Investment Advisory firm - (1/3/2013 Approved)

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Contact information

Main Address

8350 Broad St Suite 240, Mclean, VA 22102-5150

Mailing Address

Phone number

(855) 979-6060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/5/2025)

Regulatory assets under management

Total Number of Accounts	145
AUM (Assets Under Management)	$ 39,304,330,239

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.

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Advisor Monitoring

Firm Stability Insights

Karan Sood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karan Sood's CRS (Customer Relationship Summary).

Certified licenses

Experience

VEST SECURITIES, LLC

FIRST DOMINION CAPITAL CORP.

MATRIX CAPITAL GROUP, INC.

PROFUNDS DISTRIBUTORS, INC.

BARCLAYS CAPITAL INC.

Primary Firm SEC Registration

VEST FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2014

Series 63

Date: 6/19/2007

Series 99TO

Date: 1/2/2023

Series 3

Date: 8/10/2021

SIE

Date: 10/1/2018

Series 17

Date: 5/14/2007

Series 24

Date: 6/5/2013

FINRA

Current Firm

VEST FINANCIAL LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VEST FINANCIAL LLC

TRUST BUT VERIFY

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