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VJ

Vishal Jain

Some features on this profile are disabled
CRD#: 5384343
VJ

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 Jain was a registered financial professional .

Vishal is a previously registered financial professional and started their career in finance in 2007. Vishal had worked at 3 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 25, 2017 - October 22, 2025

TANGENT CAPITAL PARTNERS, LLC

BD
CRD#: 146999
SHORT HILLS, NJ
Past

June 18, 2013 - March 28, 2017

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

September 3, 2007 - May 31, 2013

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/28/2007
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: 8/31/2007
General Securities Representative Examination

Current Firm

TC
TANGENT CAPITAL PARTNERS, LLC
TANGENT CAPITAL PARTNERS, LLC

CRD#: 146999 / SEC#: , 8-67885

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
14 Wyndham Road, Short Hills, NJ 07078
Mailing Address
30 Chatham Road P.o.box 708, Short Hills, NJ 07078
Phone number
(215) 816-2800
Established
Delaware since 11/07/2007
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (32 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TANGENT CAPITAL HOLDINGS, LLCSOLE OWNER
FELDMAN, RICHARD MARKFINANCIAL AND OPERATIONS PRINCIPAL2273453
HART, ADRIENNE YOSTCHIEF COMPLIANCE OFFICER1510179

Disclosures

Regulatory Event2

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

TANGENT CAPITAL PARTNERS, LLC

CRD#: 146999

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