Richard Cabanes
Professional summary
Richard Cabanes, who also goes by Rick Cabanes, is a registered financial professional currently at VELOCITY CLEARING, LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Cabanes's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2023 - Present
VELOCITY CLEARING, LLC
Office #1: 199 Water Street 17th 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
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)
(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
MEMX LLC
MIAX PEARL, LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
VELOCITY CLEARING, LLC
CRD#: 126588 / SEC#: , 8-65894
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
Red Flags
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