Vaibhav Jain
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.
Vaibhav Jain was a registered financial professional .
Vaibhav is a previously registered financial professional and started their career in finance in 2021. Vaibhav had worked at 5 firms and has passed the Series 66, Series 7TO, SIE, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2026 - July 2, 2026
ONE GROWTH SECURITIES LLC
February 10, 2023 - November 20, 2025
PRINCIPAL SECURITIES, INC.
February 6, 2023 - November 20, 2025
PRINCIPAL SECURITIES, INC.
June 29, 2022 - December 17, 2022
CETERA ADVISORS LLC
May 13, 2022 - December 17, 2022
CETERA WEALTH SERVICES, LLC
September 17, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
September 17, 2021 - December 17, 2022
CETERA WEALTH SERVICES, 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
Exams
Series 7TO
Date: 8/16/2021
General Securities Representative ExaminationCurrent Firm
ONE GROWTH SECURITIES LLC
CRD#: 310890 / SEC#: , 8-70641
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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