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Richard Cabanes

Velocity Clearing, LLC

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About Richard Cabanes

Richard Cabanes is a financial professional with over 15 years of experience in the financial industry. He has a broad range of experience, having worked with firms such as Piper Sandler & Co., First Empire Securities, Inc., Hapoalim Securities USA, Inc., and Countrywide Securities Corporation. Richard is currently registered with Velocity Clearing, LLC, and holds Series 7, 7TO, 63, 65, and 24 licenses. Richard is a highly experienced financial professional committed to providing clients with personalized guidance and exceptional service.

Firm Information

Richard Cabanes is currently registered with Velocity Clearing, LLC. Velocity Clearing, LLC is a Limited Liability Company formed in June 2010 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is registered with the SEC and has been involved in 4 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

87

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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Richard Cabanes’s Registration & Firm History

NY

09/20/2023 - Present

Velocity Clearing, LLC (New York NY)

CA

07/08/2019 - 06/08/2020

PIPER SANDLER & CO. (EL SEGUNDO CA)

CA

07/18/2016 - 03/15/2019

FIRST EMPIRE SECURITIES, INC. (West Los Angeles CA)

CA

10/14/2008 - 02/01/2016

HAPOALIM SECURITIES USA, INC. (LOS ANGELES CA)

CA

02/25/2004 - 09/09/2008

COUNTRYWIDE SECURITIES CORPORATION (CALABASAS CA)

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Licenses & Designations

BC

Issued 09/20/2023

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 06/24/2020

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/17/2024

Series 24 - General Securities Principal Examination

BC

Issued 09/20/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/24/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Richard Cabanes.
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