AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
VK

Vishal Kapoor

CREDIT AGRICOLE SECURITIES (USA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 5270352
VK

Professional summary

Vishal Kapoor is a registered financial professional currently at CREDIT AGRICOLE SECURITIES (USA) INC. located in New York, New York.

Vishal is registered as a RR (Registered Representative) and started their career in finance in 2011. Vishal has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vishal Kapoor's 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

September 6, 2024 - Present

CREDIT AGRICOLE SECURITIES (USA) INC.

Office #1: 1301 Avenue Of The Americas 9th Floor, New York, NY 10019Office #2: 200 Wood Avenue South 1st Floor, Iselin, NJ 08830
BD
CRD#: 190
New York, NY
Past

May 10, 2016 - May 2, 2023

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

April 8, 2013 - March 24, 2015

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

March 2, 2012 - November 21, 2012

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

September 19, 2011 - February 23, 2012

ICE BONDS SECURITIES CORPORATION

BD
CRD#: 123635
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(9/6/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/26/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

CREDIT AGRICOLE SECURITIES (USA) INC.
CREDIT AGRICOLE SECURITIES (USA) INC.
CALYON SECURITIES (USA) INC | EURO PARTNERS SECURITIES CORPORATION | CREDIT LYONNAIS SECURITIES (USA), INC. | CREDIT AGRICOLE SECURITIES (USA) INC. | CL GLOBALPARTNERS SECURITIES CORPORATION | CALYON SECURITIS (USA) INC.

CRD#: 190 / SEC#: , 8-13753

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1301 Avenue Of The Americas - 9th Floor, New York, NY 10019
Mailing Address
1301 Avenue Of The Americas - 9th Floor, New York, NY 10019
Phone number
(212) 261-7000
Established
New York since 01/30/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI")SHAREHOLDER
ARNAL, CELINEDIRECTOR7247072
GEROLD, MARIA TERESACFO5967881
HETIER, FRANCOIS-EDOUARD MARIE MARCDIRECTOR7817148
KURZ, WILLIAM FRANKMEMBER OF THE BOARD OF DIRECTORS AND COO7602164
PUBLIE, STEPHANEINTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS5978052
YOUN, EDWARD KYUNG-HOCHIEF COMPLIANCE OFFICER6723958
ZAFAR, KASHIFMANAGING DIRECTOR2666642

Disclosures

Regulatory Event18

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.

Company Information

CREDIT AGRICOLE SECURITIES (USA) INC.

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190New York, NY 10019

TRUST BUT VERIFY

Monitor Vishal Kapoor

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.