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Ritvig Nipendra Amin

Regions Securities LLC

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About Ritvig Nipendra Amin

Ritvig Nipendra Amin is a financial professional with over 20 years of experience in the industry. Currently, Ritvig is registered with Regions Securities LLC. Ritvig has held previous roles with firms like FIDUS SECURITIES, LLC, KNIGHT CAPITAL AMERICAS LLC, KNIGHT CAPITAL AMERICAS, L.P., HOULIHAN LOKEY CAPITAL, INC., WACHOVIA CAPITAL MARKETS, LLC and WACHOVIA SECURITIES, LLC. Ritvig holds a variety of licenses and certifications including Series 7, Series 24, Series 63, Series 79TO and Series 99TO. Ritvig is registered in 51 states as a broker.

Firm Information

Ritvig Amin is currently registered with Regions Securities LLC. Regions Securities LLC is a Limited Liability Company that was formed on October 12, 2011 and is registered in all 50 states and the District of Columbia. The firm is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

137

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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Ritvig Amin’s Registration & Firm History

NC

04/16/2013 - Present

Regions Securities LLC (Charlotte NC)

NC

08/30/2012 - 05/14/2013

FIDUS SECURITIES, LLC (CHARLOTTE NC)

CA

07/02/2012 - 08/27/2012

KNIGHT CAPITAL AMERICAS LLC (LOS ANGELES CA)

CA

11/10/2011 - 07/02/2012

KNIGHT CAPITAL AMERICAS, L.P. (LOS ANGELES CA)

CA

10/17/2008 - 09/08/2011

HOULIHAN LOKEY CAPITAL, INC. (LOS ANGELES CA)

NC

07/01/2003 - 07/02/2008

WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)

MO

01/10/2003 - 07/01/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 12/23/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/31/2022

Series 24 - General Securities Principal Examination

BC

Issued 01/03/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/09/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ritvig Nipendra Amin.
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