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VR

Vinod P. Rathore

DV SECURITIES
New York, NY 10014
Some features on this profile are disabled
CRD#: 2882803
VR

Professional summary

Vinod Pratap Singh Rathore is a registered financial professional currently at DV SECURITIES, 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 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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

February 25, 2026 - Present

DV SECURITIES, LLC

Office #1: 395 Hudson Street Suite 701, New York, NY 10014
BD
CRD#: 305134
New York, NY
Past

May 6, 2024 - February 20, 2026

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
NEW YORK, NY
Past

December 9, 2020 - April 24, 2024

SIEBERT WILLIAMS SHANK & CO., LLC

BD
CRD#: 42568
NEW YORK, NY
Past

June 13, 2012 - November 27, 2020

STORMHARBOUR SECURITIES LP

BD
CRD#: 35997
NEW YORK, NY
Past

March 7, 2012 - May 31, 2012

ALLY SECURITIES LLC

BD
CRD#: 25988
DETROIT, MI
Past

April 15, 2009 - March 2, 2012

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

May 11, 2004 - February 19, 2008

WAMU CAPITAL CORP.

BD
CRD#: 119069
NEW YORK, NY
Past

October 16, 2000 - April 16, 2004

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 19, 2000 - October 16, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 21, 1998 - June 27, 2000

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY

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
New York
(2/25/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/14/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/18/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DV SECURITIES, LLC
DV SECURITIES, LLC

CRD#: 305134 / SEC#: , 8-70393

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

Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Phone number
(312) 837-0649
Established
Delaware since 05/26/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DV GROUP, LLCMEMBER
CARLINO, ERIC JAMESTRADING PRINCIPAL - CEO2898311
HORGAN, RICHARD JOHNCHIEF FINANCIAL OFFICER6697860
KATZ, SHIFRACHIEF COMPLIANCE OFFICER

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.

Company Information

DV SECURITIES, LLC

CRD#: 305134New York, NY 10014

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