Richard Cabanes
Professional summary
Richard Cabanes, who also goes by Rick Cabanes, is a registered financial advisor currently at CLEVERALPHA located in Hawthorne, California and VELOCITY CLEARING, LLC located in New York, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Cabanes's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 18, 2025 - Present
CLEVERALPHA
Office #1: 5155 West Rosecrans Avenue Suite 320a, Hawthorne, CA 90250September 20, 2023 - Present
VELOCITY CLEARING, LLC
Office #1: 199 Water Street 17th Floor, New York, NY 10038November 17, 2025 - Present
VELOCITY CAPITAL, LLC
Office #1: 199 Water Street 8th Floor, New York, NY 10038July 8, 2019 - June 8, 2020
PIPER SANDLER & CO.
July 18, 2016 - March 15, 2019
FIRST EMPIRE SECURITIES, INC.
October 14, 2008 - February 1, 2016
HAPOALIM SECURITIES USA, INC.
February 25, 2004 - September 9, 2008
COUNTRYWIDE SECURITIES CORPORATION
Primary Firm SEC Registration
CLEVERALPHA
CRD#: 301620 / SEC#: 801-117634
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/20/2023)
(12/18/2025)
(9/20/2023)
(9/20/2023)
Exams
Series 7TO
Date: 9/20/2023
General Securities Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CLEVERALPHA
CRD#: 301620 / SEC#: 801-117634
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 55 |
| AUM (Assets Under Management) | $ 28,324,971 |
Red Flags
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