Vinod P. Rathore

CABRERA CAPITAL MARKETS

NEW YORK, NY 10020

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CRD#: 2882803

Professional summary

Vinod Pratap Singh Rathore is a registered financial professional currently at CABRERA CAPITAL MARKETS, LLC located in New York, New York.

Vinod is registered as a RR (Registered Representative) and started their career in finance in 1998. Vinod has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vinod Pratap Singh Rathore'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®

None

Experience

Current

May 6, 2024 - Present

CABRERA CAPITAL MARKETS, LLC

Office #1: 1230 Avenue Of The Americas Ste. 1902, New York, NY 10020

CRD#: 10081

NEW YORK, NY

Past

December 9, 2020 - April 24, 2024

SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568

NEW YORK, NY

Past

June 13, 2012 - November 27, 2020

STORMHARBOUR SECURITIES LP

CRD#: 35997

NEW YORK, NY

Past

March 7, 2012 - May 31, 2012

ALLY SECURITIES LLC

CRD#: 25988

DETROIT, MI

Past

April 15, 2009 - March 2, 2012

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

May 11, 2004 - February 19, 2008

WAMU CAPITAL CORP.

CRD#: 119069

NEW YORK, NY

Past

October 16, 2000 - April 16, 2004

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 19, 2000 - October 16, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

August 21, 1998 - June 27, 2000

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(5/6/2024)

Exams

State Security Law Exam

Series 63

Date: 9/18/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CABRERA CAPITAL MARKETS, LLC

CABRERA CAPITAL MARKETS, INC. | FIRST SECURITIES CORPORATION | CABRERA CAPITAL MARKETS, LLC

CRD#: 10081 / SEC#: , 8-26406

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

227 W. Monroe St. Suite 3000, Chicago, IL 60606

Mailing Address

227 W. Monroe St. Suite 3000, Chicago, IL 60606

Phone number

(312) 236-8888

Established

Delaware since 04/10/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CABRERA CAPITAL, LLC	OWNER
RCF-CABRERA HOLDINGS, INC.	OWNER
AGUILAR, ROBERT LUIS	PRESIDENT	4860643
CABRERA, MARTIN [NMN] JR	CEO	2504167
WORF, JEFF ALLEN	CHIEF COMPLIANCE OFFICER	1416591

Disclosures

Regulatory Event

Red Flags

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Vinod P. Rathore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vinod Pratap Singh Rathore's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIEBERT WILLIAMS SHANK & CO., LLC

STORMHARBOUR SECURITIES LP

ALLY SECURITIES LLC

OPPENHEIMER & CO. INC.

WAMU CAPITAL CORP.

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/14/1998

Series 24

Date: 5/18/2009

FINRA

Current Firm

CABRERA CAPITAL MARKETS, LLC

Contact information

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CABRERA CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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