Vijay Aluwalia

BERGAMOT ASSET MANAGEMENT LP

Princeton, NJ 08540

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CRD#: 6652359

Professional summary

Vijay Aluwalia, CFP® is a registered financial advisor currently at BERGAMOT ASSET MANAGEMENT LP located in Princeton, New Jersey.

Vijay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Vijay has worked at 2 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

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.) BERGAMOT ASSET MGMT - 10/18/21 - 300 Carnegie Center, Suite 140, Princeton, NJ 08540 - Advisor, Financial Advisor, Invt Rel, IAR business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) VERITY LIFE INS SERVICES - 8/28/2015 - 300 Carnegie Center, Suite 140, Princeton, NJ 08540 - Insurance producer, Selling insurance, Invt Rel, Insurance business, 40 hrs/mo; 40 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vijay Aluwalia's 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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

October 21, 2021 - Present

BERGAMOT ASSET MANAGEMENT LP

Office #1: 300 Carnegie Center Suite 140, Princeton, NJ 08540

RIA

CRD#: 309424

Princeton, NJ

Past

September 27, 2016 - October 19, 2021

EDWARD JONES

RIA

CRD#: 250

Princeton Junction, NJ

Past

July 8, 2016 - October 19, 2021

EDWARD JONES

CRD#: 250

Princeton Junction, NJ

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

New Jersey
(10/21/2021)

IAR

Pennsylvania
(8/26/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/11/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/26/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/2016

General Securities Representative Examination

Current Firm

BERGAMOT ASSET MANAGEMENT LP

CRD#: 309424 / SEC#: 801-118989

RIA

Registered Investment Advisory firm - (10/27/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (12/21/2020 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/26/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

300 Carnegie Center Suite 140, Princeton, NJ 08540

Mailing Address

Phone number

(609) 917-7900

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	227
AUM (Assets Under Management)	$ 88,585,483

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.

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Vijay Aluwalia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vijay Aluwalia's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERGAMOT ASSET MANAGEMENT LP

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 63

Date: 8/11/2025

Series 66

Date: 7/26/2016

SIE

Date: 10/1/2018

Series 7

Date: 7/8/2016

Current Firm

BERGAMOT ASSET MANAGEMENT LP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BERGAMOT ASSET MANAGEMENT LP

TRUST BUT VERIFY

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