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Detailed Report
Vishaw Sondhi
VISHAW SONDHI
CRD#: 3046706
IA
Investment Adviser
B
Broker
TUCKER ASSET MANAGEMENT LLCCRD#: 174844 100 Broad Street
Eastontown, NJ 07728
THE LEADERS GROUP, INC.CRD#: 37157 100 Broad Street
Eatontown, NJ 07724
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BEQUITY SERVICES, INC. (CRD# 265)2015 - 2022 (6 years)BHD VEST INVESTMENT SERVICES (CRD# 13686)1998 - 2015 (17 years)IAESI FINANCIAL ADVISORS (CRD# 265)2016 - 2022 (6 years)IAH.D. VEST ADVISORY SERVICES, INC (CRD# 104556)2002 - 2015 (13 years)
License(s)

State Registrations

B
Connecticut 11/1/2022
B
New York 11/1/2022
B
Florida 11/1/2022
B
Pennsylvania 11/1/2022
B
Maine 1/3/2023
B
Texas 11/1/2022
B
New Jersey 11/1/2022
B
Wisconsin 11/1/2022
IA
New Jersey 11/1/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
THE LEADERS GROUP, INC. (CRD#:37157)
100 Broad Street, Eatontown, NJ 07724
Registered with this firm since 11/1/2022
IA
TUCKER ASSET MANAGEMENT LLC (CRD#:174844)
100 Broad Street, Eastontown, NJ 07728
Registered with this firm since 11/1/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/19/2016 - 11/02/2022 ESI FINANCIAL ADVISORS (CRD#:265) EATONTOWN, NJ
B
 12/21/2015 - 11/02/2022 EQUITY SERVICES, INC. (CRD#:265) EATONTOWN, NJ
IA
 07/03/2002 - 12/22/2015 H.D. VEST ADVISORY SERVICES, INC (CRD#:104556) EATONTOWN, NJ
B
 09/14/1998 - 12/22/2015 HD VEST INVESTMENT SERVICES (CRD#:13686) EATONTOWN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.