Vinny Rappa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Vinny Rappa, who also goes by Dave Barton, David Barton, VIncent Rappa, was a registered financial professional .
Vinny is a previously registered financial professional and started their career in finance in 1998. Vinny had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2019 - October 4, 2022
REDI GLOBAL TECHNOLOGIES LLC
July 21, 2014 - April 3, 2018
GOLDMAN SACHS & CO. LLC
May 19, 2000 - August 14, 2014
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 29, 1999 - December 22, 1999
BERGEN CAPITAL, INC.
March 31, 1998 - February 23, 1999
WEINER ABRAMS & COMPANY, INC.
January 1, 1998 - March 16, 1998
J.P. TURNER & COMPANY, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
REDI GLOBAL TECHNOLOGIES LLC
CRD#: 41924 / SEC#: , 8-49673
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
| Regulatory Event | 7 |
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.
