VL
Vincent S. Lima
MOELIS & COMPANY LLC
New York, NY 10022
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CRD#: 1972845
VL
Professional summary
Vincent Scott Lima, who also goes by VInny Lima, is a registered financial professional currently at MOELIS & COMPANY LLC located in New York, New York.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 1989. Vincent has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vinny Lima
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Vincent Scott Lima's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 15, 2010 - Present
MOELIS & COMPANY LLC
Office #1: 399 Park Avenue 4th Floor, New York, NY 10022BD
CRD#: 145115
New York, NY
Past
February 3, 2009 - July 15, 2010
GFI SECURITIES LLC
BD
CRD#: 19982
NEW YORK, NY
Past
November 28, 1997 - February 19, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 2, 1992 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
August 22, 1989 - October 5, 1992
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 22, 1989 - October 15, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/18/2024)
RR
Alaska(1/18/2024)
RR
Arizona(1/18/2024)
RR
Arkansas(1/18/2024)
RR
California(1/18/2024)
RR
Colorado(1/18/2024)
RR
Connecticut(1/18/2024)
RR
Delaware(1/18/2024)
RR
District of Columbia(1/18/2024)
RR
Florida(1/18/2024)
RR
Georgia(1/18/2024)
RR
Hawaii(1/18/2024)
RR
Idaho(1/18/2024)
RR
Illinois(1/18/2024)
RR
Indiana(1/18/2024)
RR
Iowa(1/18/2024)
RR
Kansas(1/18/2024)
RR
Kentucky(1/18/2024)
RR
Louisiana(1/18/2024)
RR
Maine(1/18/2024)
RR
Maryland(1/18/2024)
RR
Massachusetts(1/18/2024)
RR
Michigan(1/18/2024)
RR
Minnesota(1/18/2024)
RR
Mississippi(1/18/2024)
RR
Missouri(1/18/2024)
RR
Montana(1/18/2024)
RR
Nebraska(1/18/2024)
RR
Nevada(1/18/2024)
RR
New Hampshire(1/18/2024)
RR
New Jersey(1/18/2024)
RR
New Mexico(1/18/2024)
RR
New York(7/15/2010)
RR
North Carolina(1/18/2024)
RR
North Dakota(1/18/2024)
RR
Ohio(1/18/2024)
RR
Oklahoma(1/18/2024)
RR
Oregon(1/18/2024)
RR
Pennsylvania(1/18/2024)
RR
Puerto Rico(1/18/2024)
RR
Rhode Island(1/18/2024)
RR
South Carolina(1/18/2024)
RR
South Dakota(1/18/2024)
RR
Tennessee(1/18/2024)
RR
Texas(1/18/2024)
RR
Utah(1/18/2024)
RR
Vermont(1/18/2024)
RR
Virginia(1/18/2024)
RR
Washington(1/18/2024)
RR
West Virginia(1/18/2024)
RR
Wisconsin(1/18/2024)
RR
Wyoming(1/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
M&
MOELIS & COMPANY LLC
MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY
CRD#: 145115 / SEC#: , 8-67705
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
399 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
399 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 883-3800
Established
Delaware since 06/12/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
