Vagie R. Rivers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Vagie Ray Rivers, who also goes by V Ray Rivers, was a registered financial professional .
Vagie is a previously registered financial professional and started their career in finance in 1984. Vagie had worked at 16 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2019 - October 18, 2024
IMPERIAL CAPITAL, LLC
October 11, 2017 - December 20, 2019
GAMCO ASSET MANAGEMENT INC.
September 20, 2017 - December 20, 2019
G.RESEARCH, LLC
June 16, 2016 - March 1, 2017
ARXIS SECURITIES LLC
January 26, 2015 - February 23, 2016
CANTOR FITZGERALD & CO.
November 20, 2014 - January 21, 2015
SEARLE & CO.
March 28, 2014 - January 20, 2015
FIELD POINT ADVISORS LLC
January 7, 2009 - November 15, 2012
R.W.PRESSPRICH & CO.
September 22, 2008 - November 1, 2008
HUDSON SECURITIES,INC.
January 16, 2008 - July 1, 2008
KNIGHT CAPITAL AMERICAS, L.P.
November 13, 2001 - January 10, 2008
CRT CAPITAL GROUP LLC
June 16, 1998 - March 1, 2000
AUGMENT SECURITIES INC.
June 16, 1997 - June 18, 1998
SSC NY CORP.
April 15, 1997 - June 13, 1997
BELLE HAVEN INVESTMENTS, L.P.
March 6, 1996 - April 24, 1997
DB ALEX. BROWN LLC
September 24, 1984 - October 25, 1995
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/3/2001
Limited Representative-Equity Trader ExamCurrent Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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