VP
Vijay C. Parthasarathy
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CRD#: 6530764
VP
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.
Vijay Casey Parthasarathy was a registered financial professional .
Vijay is a previously registered financial professional and started their career in finance in 2015. Vijay had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
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.
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®
NoneExperience
Past
December 16, 2016 - October 31, 2018
AXOS INVEST, INC
RIA
CRD#: 150953
LAS VEGAS, NV
Past
October 25, 2016 - August 16, 2017
AXOS INVEST LLC
BD
CRD#: 172393
Las Vegas, NV
Past
September 22, 2015 - October 14, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LAS VEGAS, NV
Past
September 21, 2015 - October 14, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LAS VEGAS, NV
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".
AI
AXOS INVEST, INC
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
CRD#: 150953 / SEC#: 801-79951
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)California
Registered Investment Advisory firm - (8/13/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/28/2014 Terminated)Delaware
Registered Investment Advisory firm - (7/14/2014 Terminated)District of Columbia
Registered Investment Advisory firm - (7/14/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/14/2014 Terminated)Louisiana
Registered Investment Advisory firm - (8/1/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/21/2014 Terminated)Nevada
Registered Investment Advisory firm - (8/18/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)New York
Registered Investment Advisory firm - (7/14/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/28/2014 Terminated)Rhode Island
Registered Investment Advisory firm - (7/14/2014 Terminated)South Carolina
Registered Investment Advisory firm - (7/14/2014 Terminated)Texas
Registered Investment Advisory firm - (7/14/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/14/2014 Terminated)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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AI
AXOS INVEST, INC
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
CRD#: 150953 / SEC#: 801-79951
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)California
Registered Investment Advisory firm - (8/13/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/28/2014 Terminated)Delaware
Registered Investment Advisory firm - (7/14/2014 Terminated)District of Columbia
Registered Investment Advisory firm - (7/14/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/14/2014 Terminated)Louisiana
Registered Investment Advisory firm - (8/1/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/21/2014 Terminated)Nevada
Registered Investment Advisory firm - (8/18/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)New York
Registered Investment Advisory firm - (7/14/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/28/2014 Terminated)Rhode Island
Registered Investment Advisory firm - (7/14/2014 Terminated)South Carolina
Registered Investment Advisory firm - (7/14/2014 Terminated)Texas
Registered Investment Advisory firm - (7/14/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/14/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Mailing Address
Phone number
(858) 376-6055
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,625 |
| AUM (Assets Under Management) | $ 146,996,118 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2025 | ||
| 01/21/2025 | ||
| 03/04/2024 | ||
| 01/27/2023 |
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.
