Kipton M. Cariaga

VCS VENTURE SECURITIES

New York, NY 10006-3201

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CRD#: 5782869

Professional summary

Kipton Mitchell Cariaga, who also goes by Kipton M Cariaga, is a registered financial professional currently at VCS VENTURE SECURITIES located in New York, New York.

Kipton is registered as a RR (Registered Representative) and started their career in finance in 2010. Kipton has worked at 5 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kipton M Cariaga

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 Kipton Mitchell Cariaga'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

September 3, 2025 - Present

VCS VENTURE SECURITIES

Office #1: 29 Broadway Suite 1502, New York, NY 10006-3201

CRD#: 127921

New York, NY

Past

February 28, 2024 - September 2, 2025

GREAT PINE INVESTMENTS LLC

CRD#: 31538

MIAMI, FL

Past

March 29, 2023 - February 23, 2024

MURIEL SIEBERT & CO., LLC

CRD#: 5376

NEW YORK, NY

Past

October 1, 2012 - July 18, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

HIGHLAND, CA

Past

June 28, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

HIGHLAND, 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

California
(9/3/2025)

Florida
(9/3/2025)

New York
(9/3/2025)

Exams

State Security Law Exam

Series 63

Date: 12/12/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 5/7/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 3/29/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/24/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/25/2010

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/7/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VCS VENTURE SECURITIES

D R F BUSINESS AND FINANCIAL SERVICES, LLC | VCS VENTURE SECURITIES | PRIMARY CAPITAL, LLC

CRD#: 127921 / SEC#: , 8-66069

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

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Contact information

Main Address

29 Broadway Suite 1502, New York, NY 10006-3201

Mailing Address

29 Broadway Suite 1502, New York, NY 10006-3221

Phone number

(212) 404-7696

Established

Delaware since 11/16/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LEO CAPITAL MARKETS, LLC	DIRECT OWNER
NEW AGE CAPITAL MANAGEMENT, LLC	DIRECT OWNER
MOOD, TRAVIS ANTON MORSE	REGISTERED OPTIONS PRINCIPAL	4745001
NIXON, JON ALAN	FINOP	4710715
STALANSKI, JOHN WALTER	AMLCO	2922709
STALANSKI, JOHN WALTER	CHIEF OPERATING OFFICER	2922709
STALANSKI, JOHN WALTER	CHIEF COMPLIANCE OFFICER	2922709

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Kipton M. Cariaga

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kipton Mitchell Cariaga's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREAT PINE INVESTMENTS LLC

MURIEL SIEBERT & CO., LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/12/2023

Series 79TO

Date: 5/7/2024

Series 7TO

Date: 3/29/2023

SIE

Date: 1/24/2023

Series 6

Date: 6/25/2010

Series 24

Date: 3/7/2024

FINRA

Current Firm

VCS VENTURE SECURITIES

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VCS VENTURE SECURITIES

TRUST BUT VERIFY

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