Gavin C. Vice
Professional summary
Gavin Charles Vice is a registered financial professional currently at CLEARLIST SECURITIES LLC located in New York, New York.
Gavin is registered as a RR (Registered Representative) and started their career in finance in 1996. Gavin has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gavin Charles Vice's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 27, 2022 - Present
CLEARLIST SECURITIES LLC
Office #1: 40 Wall Street 38th Floor, New York, NY 10005February 25, 2021 - October 28, 2021
CLEARLIST SECURITIES LLC
January 21, 2021 - October 28, 2021
CLEARLIST LLC
August 16, 2017 - March 7, 2019
BENJAMIN & JEROLD BROKERAGE I, LLC
October 28, 2015 - December 9, 2019
HOLD BROTHERS CAPITAL LLC
November 7, 2014 - October 6, 2015
T3 TRADING GROUP, LLC
December 15, 2011 - October 1, 2015
WORLD-XECUTION STRATEGIES
April 14, 2011 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
November 12, 2008 - October 8, 2010
BETTERMENT SECURITIES
January 15, 2008 - November 29, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
June 27, 2007 - January 9, 2008
PUNK, ZIEGEL & COMPANY, L.P.
September 13, 2001 - June 7, 2007
BEAR WAGNER SPECIALISTS LLC
April 23, 2001 - September 21, 2001
BEAR WAGNER SPECIALISTS LLC
November 11, 1996 - April 23, 2001
WSM HOLDINGS, 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
(9/27/2022)
(12/13/2024)
(9/27/2022)
(12/13/2024)
(9/27/2022)
(9/27/2022)
(9/27/2022)
(9/27/2022)
(9/27/2022)
(12/13/2024)
(12/13/2024)
(9/27/2022)
(9/27/2022)
(9/27/2022)
(9/27/2022)
(9/27/2022)
(12/13/2024)
(9/27/2022)
(9/27/2022)
(12/13/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/19/2007
Limited Representative-Equity Trader ExamSeries 21
Date: 7/20/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 7/20/1999
NYSE Trading Assistant ExaminationFINRA
Current Firm
CLEARLIST SECURITIES LLC
CRD#: 309455 / SEC#: , 8-70540
Contact information
FINRA licenses (48 States and Territories)
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.
