Vania Montes De Oca

ROBINHOOD SECURITIES

New York, NY 10014

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CRD#: 5378822

Professional summary

Vania Montes De Oca is a registered financial professional currently at ROBINHOOD SECURITIES, LLC located in New York, New York and ROBINHOOD FINANCIAL, LLC located in New York, New York.

Vania is registered as a RR (Registered Representative) and started their career in finance in 2013. Vania has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Vania Montes De Oca's CRS (Customer Relationship Summary).

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 13, 2021 - Present

ROBINHOOD SECURITIES, LLC

Office #1: 413 West 14th Street 3rd And 4th Floor, New York, NY 10014

CRD#: 287900

New York, NY

Current

February 1, 2023 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 413 West 14th Street 3rd And 4th Floor, New York, NY 10014

CRD#: 165998

New York, NY

Past

March 31, 2015 - August 5, 2021

HARRISDIRECT LLC

RIA

CRD#: 42159

JERSEY CITY, NJ

Past

March 24, 2015 - August 5, 2021

E*TRADE SECURITIES LLC

CRD#: 29106

Jersey City, NJ

Past

July 19, 2014 - March 23, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN DIEGO, CA

Past

November 14, 2013 - March 23, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN DIEGO, CA

Past

September 30, 2013 - November 8, 2013

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(8/13/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/19/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/30/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROBINHOOD FINANCIAL, LLC

CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC

CRD#: 165998 / SEC#: , 8-69188

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

Mailing Address

500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

Phone number

(650) 761-7789

Established

Delaware since 08/24/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ROBINHOOD MARKETS, INC	100% OWNER
BILLINGS, MATTHEW JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	1915377
CAVALLARO, ANTHONY JOSEPH	CHIEF COMPLIANCE OFFICER	1607925
GALVIN, SCOT SEAN	PRINCIPAL OPERATIONS OFFICER	3226179
KELATI, DANIEL T	CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP	3103432
KOLLER, WALTER	CHIEF OPERATING OFFICER	1932260
QUIRK, STEVEN MARK	MANAGER	2728768
SUBRAMANIAN, SIVARAMAKRISHNAN	MANAGER	7339479

Disclosures

Regulatory Event	55
Arbitration	6

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.

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Vania Montes De Oca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vania Montes De Oca's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBINHOOD FINANCIAL, LLC

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/19/2014

SIE

Date: 10/1/2018

Series 7

Date: 9/30/2013

Series 24

Date: 12/12/2022

FINRA

Current Firm

ROBINHOOD FINANCIAL, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROBINHOOD FINANCIAL, LLC

TRUST BUT VERIFY

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