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Nicole S. Rafael-kazmirzak

Some features on this profile are disabled
CRD#: 6924517
NR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nicole Stephanie Rafael-kazmirzak, who also goes by Nicole Stephanie Rafael, was a registered financial professional .

Nicole is a previously registered financial professional and started their career in finance in 2018. Nicole had worked at 1 firm and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Stephanie Rafael

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 22, 2018 - January 17, 2019

DBS VICKERS SECURITIES (USA) INC.

BD
CRD#: 35691
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: 6/22/2018
Operations Professional Examination

Current Firm

DV
DBS VICKERS SECURITIES (USA) INC.
DBS VICKERS SECURITIES (USA) INC. | VICKERS BALLAS (USA) INC.

CRD#: 35691 / SEC#: , 8-46837

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

Main Address
777 Third Ave Suite 1701, New York, NY 10017
Mailing Address
777 Third Avenue Suite 1701, New York, NY 10017
Phone number
(212) 826-1888
Established
Delaware since 12/01/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DBS VICKERS SECURITIES HOLDINGS PTE LTD (FORMERLY VICKERS BALLAS HOLDINGS LIMITED)NEW PARENT COMPANY - A/O 9/12/2001 100% OWNER, A/0 10/01/01 CONSOLIDATED REPORTING
MARRONE, MICHAEL THOMASFINOP/PFO/POO4859949
MCCABE, THOMAS JOSEPHDIRECTOR ON BOARD OF DIRECTORS DBSV USA (& MANAGING DIRECTOR OF DBS BANK - LOS ANGELES2333611
TANG, YEW CHOONGDIRECTOR ON BOARD OF DIRECTORS DBSV USA (& CEO OF DBSV SINGAPORE PTE LTD)7462745
YU, ELAINE YEELINGCEO / CCO / DIRECTOR ON BOARD OF DIRECTORS OF DBSV USA2246528

Disclosures

Regulatory Event1

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

DBS VICKERS SECURITIES (USA) INC.

CRD#: 35691

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