Gaurav Lall has been Managing Member, Chief Compliance Officer of VCP Financial since June 2013, is a control person of the firm and directly owns between 25% and 50% of it.
VCP Financial LLC is a Staten Island, NY firm with $143M under management, 411 clients and 4 advisers in one office, as of its February 2026 filing.
Gaurav Lall’s longest registration is the current one, 12 years at VCP Financial since 2014. Before joining VCP Financial in 2014, Gaurav Lall was registered through Sterne Agee Asset Management, Inc. and Synergy Investment Group, LLC.
- VCP Financial LLCCurrent– present · 12 yearsStaten Island, NY · Adviser representative · Firm CRD 167901
- Sterne Agee Asset Management, Inc.– · 2 yearsNew York, NY · Adviser representative · Firm CRD 130888
- Synergy Investment Group, LLC– · 1 yearNew York, NY · Adviser representative · Firm CRD 46035
Investment adviser representative registrations
Gaurav Lall is registered as an investment adviser representative in 26 states, as a resident of Texas. The first approvals date from January 2017; the most recent is New Hampshire, in February 2026.
- CaliforniaSince 18 January 2017
- ConnecticutSince 4 April 2025
- FloridaSince 26 July 2023
- GeorgiaSince 26 July 2023
- IllinoisSince 3 May 2023
- IndianaSince 19 June 2025
- IowaSince 23 July 2025
- KansasSince 26 April 2023
- LouisianaSince 9 December 2024
- MarylandSince 3 April 2025
- MassachusettsSince 5 June 2025
- MichiganSince 28 April 2023
- MinnesotaSince 2 November 2023
- NebraskaSince 26 April 2023
- New HampshireSince 3 February 2026
- New JerseySince 1 May 2023
- New YorkSince 4 September 2021
- North CarolinaSince 7 April 2025
- OhioSince 1 May 2023
- PennsylvaniaSince 4 April 2025
- South CarolinaSince 8 April 2025
- TexasResidentSince 26 April 2023
- UtahSince 3 April 2025
- VirginiaSince 30 May 2025
- WashingtonSince 26 April 2023
- WisconsinSince 2 November 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 16 November 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 December 2003 |
| Series 7 | General Securities Representative Examination | 10 December 2003 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Gaurav Chand Lall
- CRD
- 4738175
- Firm
- VCP Financial · CRD 167901
- Role
- Managing Member, Chief Compliance Officer
- Office
- 2535 VICTORY BOULEVARD, Staten Island, NY 10314
- Registration
- Investment adviser registration
- In the industry since
- December 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Gaurav Lall work?
Gaurav Lall has been Managing Member, Chief Compliance Officer of VCP Financial LLC since June 2013, and is a control person of the firm.
Is Gaurav Lall a financial advisor?
Yes. Gaurav Lall has a current investment-adviser registration in California, Connecticut, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Nebraska, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Utah, Virginia, Washington and Wisconsin, through VCP Financial since June 2014.
How many years of experience does Gaurav Lall have?
Gaurav Lall has 22 years in the financial industry, since December 2003, across 3 adviser firms.
What exams has Gaurav Lall passed?
Gaurav Lall has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in December 2003. FINRA credited Gaurav Lall with the SIE, which began in October 2018.
Where did Gaurav Lall work before VCP Financial?
Before VCP Financial, Gaurav Lall was registered through Sterne Agee Asset Management, Inc., April 2012 to June 2014; Synergy Investment Group, LLC, November 2010 to March 2012.
Where is Gaurav Lall based?
Gaurav Lall’s registered office is in Staten Island, NY.
Is Gaurav Lall registered with FINRA?
No. Gaurav Lall has no current broker registration.
How can I verify Gaurav Lall’s record?
Search CRD 4738175 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Gaurav Lall’s full registration record.