VR
Vincent F. Ragosta
MOELIS & COMPANY
New York, NY 10022
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CRD#: 5912162
VR
Professional summary
Vincent Francis Ragosta III, who also goes by VIncent Francis Ragosta III, Vincent Francis Ragosta, is a registered financial professional currently at MOELIS & COMPANY LLC located in New York, New York.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 2011. Vincent has worked at 4 firms and has passed the Series 63, Series 82TO, SIE, Series 79 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vincent Francis Ragosta Iii | Vincent Francis Ragosta
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.
CRS (Client Relationship Summary) - BD
Click below to view Vincent Francis Ragosta III'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®
NoneExperience
Current
August 15, 2022 - Present
MOELIS & COMPANY LLC
Office #1: 399 Park Avenue 4th Floor, New York, NY 10022BD
CRD#: 145115
New York, NY
Past
July 31, 2018 - May 19, 2022
CAMPBELL LUTYENS & CO. INC.
BD
CRD#: 133376
NEW YORK, NY
Past
November 21, 2013 - April 13, 2018
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
June 28, 2011 - November 4, 2013
SMBC NIKKO SECURITIES AMERICA, INC.
BD
CRD#: 28602
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/19/2024)
RR
Alaska(1/19/2024)
RR
Arizona(1/19/2024)
RR
Arkansas(1/19/2024)
RR
California(1/19/2024)
RR
Colorado(1/19/2024)
RR
Connecticut(1/19/2024)
RR
Delaware(1/19/2024)
RR
District of Columbia(1/19/2024)
RR
Florida(1/19/2024)
RR
Georgia(1/19/2024)
RR
Hawaii(1/19/2024)
RR
Idaho(1/19/2024)
RR
Illinois(1/19/2024)
RR
Indiana(1/19/2024)
RR
Iowa(1/19/2024)
RR
Kansas(1/19/2024)
RR
Kentucky(1/19/2024)
RR
Louisiana(1/19/2024)
RR
Maine(1/19/2024)
RR
Maryland(1/19/2024)
RR
Massachusetts(1/19/2024)
RR
Michigan(1/19/2024)
RR
Minnesota(1/19/2024)
RR
Mississippi(1/19/2024)
RR
Missouri(1/19/2024)
RR
Montana(1/19/2024)
RR
Nebraska(1/19/2024)
RR
Nevada(1/19/2024)
RR
New Hampshire(1/19/2024)
RR
New Jersey(1/19/2024)
RR
New Mexico(1/19/2024)
RR
New York(8/15/2022)
RR
North Carolina(1/19/2024)
RR
North Dakota(1/19/2024)
RR
Ohio(1/19/2024)
RR
Oklahoma(1/19/2024)
RR
Oregon(1/19/2024)
RR
Pennsylvania(1/19/2024)
RR
Puerto Rico(1/19/2024)
RR
Rhode Island(1/19/2024)
RR
South Carolina(1/19/2024)
RR
South Dakota(1/19/2024)
RR
Tennessee(1/19/2024)
RR
Texas(1/19/2024)
RR
Utah(1/19/2024)
RR
Vermont(1/19/2024)
RR
Virginia(1/19/2024)
RR
Washington(1/19/2024)
RR
West Virginia(1/19/2024)
RR
Wisconsin(1/19/2024)
RR
Wyoming(1/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 3/22/2019
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
M&
MOELIS & COMPANY LLC
MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY
CRD#: 145115 / SEC#: , 8-67705
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
399 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
399 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 883-3800
Established
Delaware since 06/12/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
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.
