Shubham Agarwal
Professional summary
Shubham Agarwal is a registered financial professional currently at VIENNA CAPITAL PARTNERS LLC located in New York, New York.
Shubham is registered as a RR (Registered Representative) and started their career in finance in 2025. Shubham has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shubham Agarwal's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2025 - Present
VIENNA CAPITAL PARTNERS LLC
Office #1: 40 Wall Street 17th Fl, New York, NY 10005State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/2/2025)
(6/24/2025)
(6/24/2025)
(7/2/2025)
Exams
Series 7TO
Date: 6/24/2025
General Securities Representative ExaminationFINRA
Current Firm
VIENNA CAPITAL PARTNERS LLC
CRD#: 311852 / SEC#: , 8-70631
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOMASA ANTONIA HOLDINGS LLC | DIRECT OWNER | |
| DEFILIPPO, VINCENT JAMES | CCO | 2792048 |
| KAPPOTIS, ERNEST DOMENIC | FINOP |
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