Jamie D. Riff
Professional summary
Jamie Daniel Riff is a registered financial professional currently at RESEARCH CAPITAL USA INC. .
Jamie is registered as a RR (Registered Representative) and started their career in finance in 2005. Jamie has worked at 6 firms and has passed the Series 63, SIE, Series 7TO, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jamie Daniel Riff's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2021 - Present
RESEARCH CAPITAL USA INC.
Office #1: 199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2June 13, 2011 - April 18, 2017
ATB CAPITAL MARKETS USA INC.
April 14, 2011 - May 13, 2011
VENTUM FINANCIAL (US) CORP.
May 6, 2008 - December 13, 2010
NBF SECURITIES (USA) CORP.
February 29, 2008 - April 25, 2008
RBC CAPITAL MARKETS, LLC
October 19, 2005 - February 29, 2008
RBC CAPITAL MARKETS 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
(10/18/2021)
(4/19/2021)
(4/20/2021)
(10/18/2021)
(10/18/2021)
Exams
Series 7TO
Date: 4/18/2021
General Securities Representative ExaminationFINRA
Current Firm
RESEARCH CAPITAL USA INC.
CRD#: 39670 / SEC#: , 8-48795
Contact information
FINRA licenses (22 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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