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Nikki Rizzi

Marex Capital Markets Inc.

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About Nikki Rizzi

Nikki Rizzi is a financial professional with over 20 years of experience in the industry. Nikki is currently registered with Marex Capital Markets Inc. in Stamford, Connecticut. Nikki has a Series 7, Series 24, and Series 63 license and is registered in California, Connecticut, Illinois, New York, and South Carolina. Nikki has previously worked at Cowen and Company, Cowen Prime Services LLC, Israel A. Englander & Co., LLC, Direct Access Partners LLC, Cantor Fitzgerald & Co., PCS Dunbar Securities, LLC, Goldman Sachs Execution & Clearing, L.P. and Goldman, Sachs & Co.

Firm Information

Nikki Rizzi is currently registered with Marex Capital Markets Inc.. Marex Capital Markets Inc. is a Corporation formed in 1952 and approved for operations in all 50 states, the District of Columbia, and Puerto Rico. The firm has an active SEC registration and has reported 42 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

71

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Nikki Rizzi’s Registration & Firm History

CT

12/01/2023 - Present

Marex Capital Markets Inc. (Stamford CT)

CT

08/10/2021 - 12/12/2023

COWEN AND COMPANY (Stamford CT)

CT

04/02/2014 - 02/10/2022

COWEN PRIME SERVICES LLC (STAMFORD CT)

NY

05/30/2013 - 05/15/2014

ISRAEL A. ENGLANDER & CO., LLC (PURCHASE NY)

NY

04/17/2013 - 05/31/2013

DIRECT ACCESS PARTNERS LLC (NEW YORK NY)

NY

02/28/2011 - 04/02/2013

CANTOR FITZGERALD & CO. (PURCHASE NY)

NY

03/16/2009 - 02/28/2011

PCS DUNBAR SECURITIES, LLC (PURCHASE NY)

NY

09/12/2006 - 02/17/2009

GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)

NY

07/07/2003 - 09/21/2006

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/31/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/14/2010

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/03/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Nikki Rizzi.
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