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VK

Vishal Kumar

TWIN PEAKS WEALTH ADVISORS
New York, NY
Some features on this profile are disabled
CRD#: 5763449
VK

Professional summary

Vishal Kumar is a registered financial advisor currently at TWIN PEAKS WEALTH ADVISORS located in New York, New York.

Vishal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Vishal has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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. 10/19/2022 - Twin Peaks Insurance Services, LLC - Investment Related - Virtually-At People's Homes - Non-Variable Insurance - Agent - Start Date: 10/12/2022 - 6 Hours Per Month/1 Hour During Securities Trading. 2. 10/28/2022 - Twin Peaks Estate Services, LLC - Not Investment Related - Clients homes, or virtually (video conference) - Other-administrative estate planning - Start Date: 08/19/2019 - 6 Hours Per Month/0 Hours During Securities Trading. 3. 11/09/2022 - No Business Name - Investment Related - 57 Reade Unit 15A New York, NY 10007 - Real Estate Rental - Start Date: 12/01/2022 - 1 Hour Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vishal Kumar'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 12, 2022 - Present

TWIN PEAKS WEALTH ADVISORS

RIA
CRD#: 323817
New York, NY
Past

March 6, 2015 - December 20, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN FRANCISCO, CA
Past

March 6, 2015 - December 20, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN FRANCISCO, CA
Past

May 22, 2012 - March 13, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
SAN FRANCISCO, CA
Past

April 17, 2012 - March 13, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SAN FRANCISCO, CA

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".
TP
TWIN PEAKS WEALTH ADVISORS
TWIN PEAKS WEALTH ADVISORS | TWIN PEAKS WEALTH ADVISORS, LLC

CRD#: 323817 / SEC#: 801-126874

RIA
Registered Investment Advisory firm - (11/10/2022 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.

Highlighted states indicate IAR registrations

IAR
California
(12/12/2022)
IAR
New York
(1/9/2024)
IAR
Texas
(1/9/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/18/2012
Uniform Combined 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: 4/16/2012
General Securities Representative Examination

Current Firm

TP
TWIN PEAKS WEALTH ADVISORS
TWIN PEAKS WEALTH ADVISORS | TWIN PEAKS WEALTH ADVISORS, LLC

CRD#: 323817 / SEC#: 801-126874

RIA
Registered Investment Advisory firm - (11/10/2022 Approved)
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Contact information

Main Address
San Francisco, CA
Mailing Address
Phone number
(650) 200-0308
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (10 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2A BROCHURE (6/5/2025)

Regulatory assets under management

Total Number of Accounts1,592
AUM (Assets Under Management)$ 410,400,224

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

TWIN PEAKS WEALTH ADVISORS

CRD#: 323817New York, NY

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Contact information

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xxxxx@xxxx.xxx

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