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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vivek? Claim Your ProfileVivek Mehta is a financial advisor at Morgan Stanley. Vivek has been in the financial industry since 2004, working at various firms including BOSC, INC., COMPASS BROKERAGE, INC. and Chase Investment Services Corp. He is currently registered as a Registered Representative in Texas and has a Series 7TO, Series 6, and SIE license. Vivek has also passed the Series 66 and Series 63 exams. He specializes in offering a variety of financial services including asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, individuals, and investment companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
07/29/2020 - Present
Morgan Stanley (Sugar Land TX)
TX
01/07/2008 - 02/10/2009
BOSC, INC. (RICHARDSON TX)
TX
04/27/2004 - 12/06/2007
COMPASS BROKERAGE, INC. (HOUSTON TX)
IL
11/24/2003 - 04/19/2004
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
BOTH
Issued 07/29/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/29/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/13/2019
Series 7TO - General Securities Representative Examination
BC
Issued 04/22/2019
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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