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VV

Vishal Verma

JM FINANCIAL SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 7118872
VV

Professional summary

Vishal Verma is a registered financial professional currently at JM FINANCIAL SECURITIES, INC. located in New York, New York.

Vishal is registered as a RR (Registered Representative) and started their career in finance in 2021. Vishal has worked at 1 firm and has passed the Series 63, Series 7TO and SIE 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vishal Verma'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®
None

Experience

Current

January 25, 2021 - Present

JM FINANCIAL SECURITIES, INC.

Office #1: 1325 Avenue Of The Americas 27th Floor, Office No. 2715, New York, NY 10019Office #2: 1177 Avenue Of The Americas 5th Floor, Office No. 5045 And 5046, New York, NY 10036
BD
CRD#: 166504
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(2/19/2021)
RR
New York
(10/24/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/19/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/25/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/31/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

JF
JM FINANCIAL SECURITIES, INC.
JM FINANCIAL SECURITIES, INC.

CRD#: 166504 / SEC#: , 8-69218

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1325 Avenue Of The Americas 27th Floor, Office No. 2715, New York, NY 10019
Mailing Address
1325 Avenue Of The Americas 27th Floor, Office 2715, New York, NY 10019
Phone number
+1 (332) 900-4958
Established
Delaware since 06/19/2012
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
JM FINANCIAL OVERSEAS HOLDINGS PRIVATE LIMITEDOWNER162305
ABBRUZZESE, EMILY COPELANDFINOP4606343
DAS, ARUNAVA ALOKECEO6410826
HURD, JONATHAN SCOTTCHIEF COMPLIANCE OFFICER4159864
JHAVERI, ANKUR ASHWINDIRECTOR8041574

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

JM FINANCIAL SECURITIES, INC.

CRD#: 166504New York, NY 10019

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