Vishal Punjabi
Professional summary
Vishal Punjabi, who also goes by VIshal Vivek Punjabi, is a registered financial professional currently at MOSAIC ATS, LLC located in New York, New York.
Vishal is registered as a RR (Registered Representative) and started their career in finance in 2018. Vishal has worked at 4 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vishal Punjabi's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2026 - Present
MOSAIC ATS, LLC
Office #1: 875 Washington Street 4th Floor, New York, NY 10014July 24, 2024 - April 9, 2026
GUGGENHEIM SECURITIES, LLC
September 10, 2021 - July 26, 2024
GOLDMAN SACHS & CO. LLC
July 27, 2018 - September 3, 2021
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/31/2026)
Exams
Series 57TO
Date: 3/15/2021
Securities Trader ExamFINRA
Current Firm
MOSAIC ATS, LLC
CRD#: 335824 / SEC#: , 8-71355
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
