Pankaj Vashisth Elevated to Partner and Chief Compliance Officer at US Capital Global, Assumes Leadership Role for Las Vegas Office

Leading global private financial group for the middle market appoints new partner and global Chief Compliance Officer following a year of strong business growth across multiple verticals.

SAN FRANCISCO, SEPTEMBER 2024 – US Capital Global proudly announces the promotion of Pankaj Vashisth to the esteemed positions of Partner and global Chief Compliance Officer (CCO). With headquarters in San Francisco and a global presence extending to key locations such as Las Vegas, Philadelphia, Miami, New York, London, and Dubai, US Capital Global stands as a premier full-service global private financial group specializing in corporate finance, asset management, and capital formation services.

In his new capacity and as securities principal for the group, Mr. Vashisth will spearhead the group’s administrative operations in Las Vegas while overseeing all regulatory and compliance functions, particularly in private placements, securities, and related services offered by US Capital Global Securities LLC, the group’s FINRA-member and SEC-registered broker-dealer affiliate.

Bringing to the role over two decades of expertise in global team management garnered from Fortune 500 companies, Mr. Vashisth boasts a distinguished record of leveraging astute business analysis alongside regulatory and strategic planning to optimize performance, manage risk, and elevate company revenue. His prior roles with industry leaders including Bank of America, Merrill Lynch, Swiss Re, First Data, and Deutsche Bank have equipped him with extensive experience in areas such as M&A, debt financing, real estate investment, asset management, and risk management.

Expressing his enthusiasm for his new role, Mr. Vashisth remarked, “I am thrilled to assume the role of CCO during this important juncture in US Capital Global’s growth. The group’s strong reputation for financing middle-market enterprises on a global scale, coupled with its pioneering and market-disruptive ventures in FinTech, RegTech, and MarTech, positions us uniquely in the financial landscape. I look forward to leveraging my compliance expertise and leadership experience alike to further enhance our standing and propel our ongoing domestic and international expansion and performance.”

Jeffrey Sweeney, Chairman and CEO of US Capital Global, lauded Mr. Vashisth’s promotion, stating, “Pankaj is a valued asset to our organization, and we are delighted to appoint him to the dual role of Partner and CCO. His deep understanding of our global private financial group and its distinctive value proposition for stakeholders ensures that our entire organization stands to benefit. Amidst our recent expansions across the US, Europe, and the Middle East, Pankaj’s leadership will not only guide our regulatory and compliance endeavors but also steer the operations of our Las Vegas office.”

Mr. Vashisth holds a Master of Business Administration from the prestigious Fuqua School of Business, Duke University. Before that, he attained a Master of Science in Health Information Science from the University of Texas, following his undergraduate studies in Engineering at Bangalore University in India.

About US Capital Global

Founded in 1998, US Capital Global offers a range of advanced financial solutions, including debt, equity, and investment products customized for middle-market enterprises and investors. The firm oversees direct investment funds while delivering comprehensive wealth management and investment banking services, encompassing M&A strategies and capital raising expertise. Among the notable entities within the consortium are US Capital Global Investment Management LLC, US Capital Global Wealth Management LLC, and US Capital Global Securities LLC, an SEC-registered broker-dealer and member of FINRA. To learn more, visit www.uscapital.com.

To learn more about US Capital Global, email Jeffrey Sweeney, Chairman and CEO, at jsweeney@uscapglobal.com.