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Doreen L. Vega

AIME CAPITAL MARKETS LLC
Great Neck, NY 11021
Some features on this profile are disabled
CRD#: 5364084
DV

Professional summary

Doreen Lema Vega, who also goes by Doreen Lema Manthi, Doreen Lema Vega, is a registered financial professional currently at AIME CAPITAL MARKETS LLC located in Great Neck, New York and RENAISSANCE MACRO SECURITIES, LLC located in Darien, Connecticut.

Doreen is registered as a RR (Registered Representative) and started their career in finance in 2018. Doreen has worked at 13 firms and has passed the SIE, Series 99 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doreen Lema Manthi | Doreen Lema Vega

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Doreen Lema Vega's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 25, 2023 - Present

AIME CAPITAL MARKETS LLC

Office #1: 445 Northern Blvd Ste 28, Great Neck, NY 11021
BD
CRD#: 323458
Great Neck, NY
Current

December 20, 2023 - Present

RENAISSANCE MACRO SECURITIES, LLC

Office #1: 9 Old King's Highway S 3rd Fl, Darien, CT 06820
BD
CRD#: 163927
Darien, CT
Current

December 20, 2023 - Present

HANDELSBANKEN MARKETS SECURITIES, INC.

Office #1: Handelsbanken Markets Securities Inc 875 Third Ave, New York, NY 10022
BD
CRD#: 38485
New York, NY
Past

May 11, 2018 - April 25, 2022

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
NEW YORK, NY
Past

May 8, 2018 - May 27, 2020

CFWP SECURITIES, LLC

BD
CRD#: 170228
NEW YORK, NY
Past

May 8, 2018 - June 22, 2020

SUNRISE BROKERS LLC

BD
CRD#: 151012
NEW YORK, NY
Past

May 8, 2018 - June 22, 2020

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

May 8, 2018 - June 22, 2020

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

May 8, 2018 - June 22, 2020

FMX EXECUTION, LLC

BD
CRD#: 154075
NEW YORK, NY
Past

May 8, 2018 - June 22, 2020

CF SECURED, LLC

BD
CRD#: 285841
NEW YORK, NY
Past

May 8, 2018 - June 22, 2020

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

May 8, 2018 - June 22, 2020

AQUA SECURITIES L.P.

BD
CRD#: 47681
NEW YORK, NY
Past

May 4, 2018 - June 22, 2020

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 5/4/2018
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/3/2021
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

HM
HANDELSBANKEN MARKETS SECURITIES, INC.
AFFILIATED COMPANY UNDER COMMON CONTROL: SVENSKA HANDELSBANKEN AB (PUBL) NY BRANCH | HANDELSBANKEN MARKETS SECURITIES, INC. | HANDELSBANKEN ASSET MANAGEMENT, USA

CRD#: 38485 / SEC#: 801-71066, 8-48279

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
900 Third Avenue 17 Th Floor, New York, NY 10022-4678
Mailing Address
900 Third Avenue 17 Th Floor, New York, NY 10022-4678
Phone number
(212) 326-5153
Established
Delaware since 01/09/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

HANDELSBANKEN ASSET MANAGEMENT, USA (3/8/2013)

Direct owners and executive officers

NamePositionCRD#
SVENSKA HANDELSBANKEN AB (PUBL)SHAREHOLDER
GRIMM, MICAELA JEANNEPOO2448144
GRIMM, MICAELA JEANNECHIEF COMPLIANCE OFFICER2448144
GRIMM, MICAELA JEANNEPRESIDENT2448144
GRIMM, MICAELA JEANNECO-CFO2448144
VEGA, DOREEN LEMACO-CFO, FINOP, PFO5364084

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.

Company Information

HANDELSBANKEN MARKETS SECURITIES, INC.

CRD#: 38485Great Neck, NY 11021

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