LF
Lucio I. Flores
VELOCITY CLEARING
New York, NY 10038
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CRD#: 6463500
LF
Professional summary
Lucio Ismael Flores is a registered financial professional currently at VELOCITY CLEARING, LLC located in New York, New York and VELOCITY CAPITAL, LLC located in New York, New York.
Lucio is registered as a RR (Registered Representative) and started their career in finance in 2023. Lucio has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Lucio Ismael Flores'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
December 8, 2023 - Present
VELOCITY CLEARING, LLC
Office #1: 199 Water Street 17th Floor, New York, NY 10038BD
CRD#: 126588
New York, NY
Current
April 23, 2026 - Present
VELOCITY CAPITAL, LLC
Office #1: 199 Water Street 8th Floor, New York, NY 10038BD
CRD#: 171810
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
California(12/8/2023)
RR
New Jersey(12/8/2023)
RR
New York(12/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/7/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
VC
VELOCITY CAPITAL, LLC
CLEVERALPHA SECURITIES | VELOCITY CAPITAL, LLC | OPENHAND FINANCIAL SERVICES | CNPT HOLDINGS, LLC
CRD#: 171810 / SEC#: , 8-69479
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
199 Water Street 8th Floor, New York, NY 10038
Mailing Address
199 Water Street 8th Floor, New York, NY 10038
Phone number
(646) 837-0056
Established
Nevada since 05/07/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VCP HOLDINGS, LLC | SOLE MEMBER AND OWNER | |
| AMATO, MATTEO ALBERTO | CHIEF FINANCIAL OFFICER & FINOP | 5877196 |
| BRACERO, FRANK WILLIAM | CONTROLLER | 2178318 |
| FREYER, CHRISTIAN | ROP | 6337912 |
| LOGAN, MICHAEL JAMES | CHIEF ADMINISTRATIVE OFFICER | 5763098 |
| MERCHANT, MUNAF | PRESIDENT | 1937789 |
| SMITH, JEFFREY SCOTT | CHIEF COMPLIANCE OFFICER | 2492551 |
| WIEDMAN, GARY DAVID | CHIEF OPERATING OFFICER | 1947935 |
| YAN, ROY | CHIEF EXECUTIVE OFFICER | 2352916 |
Disclosures
| Regulatory Event | 2 |
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.
