Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vagie? Claim Your ProfileVagie Ray Rivers is an active broker-dealer with Imperial Capital, LLC. Vagie has been a licensed broker since 1984 and is a Series 7, Series 24, Series 55, Series 63, Series 66 and SIE licensed professional. Vagie has been registered with 13 states. Prior to Imperial Capital, LLC, Vagie was employed with G.RESEARCH, LLC, ARXIS SECURITIES LLC, CANTOR FITZGERALD & CO., SEARLE & CO., R.W.PRESSPRICH & CO., HUDSON SECURITIES,INC., KNIGHT EQUITY MARKETS, L.P., CRT CAPITAL GROUP LLC, SPENCER TRASK SECURITIES INCORPORATED, SUNRISE SECURITIES CORP., BELLE HAVEN INVESTMENTS, BT SECURITIES CORPORATION, and BEAR, STEARNS & CO. INC..
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.
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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2
CT
12/20/2019 - Present
Imperial Capital, LLC (Stamford CT)
NY
09/20/2017 - 12/20/2019
G.RESEARCH, LLC (RYE NY)
NY
06/16/2016 - 03/01/2017
ARXIS SECURITIES LLC (NEW YORK NY)
NY
01/26/2015 - 02/23/2016
CANTOR FITZGERALD & CO. (NEW YORK NY)
CT
11/20/2014 - 01/21/2015
SEARLE & CO. (GREENWICH CT)
NY
01/07/2009 - 11/15/2012
R.W.PRESSPRICH & CO. (NEW YORK NY)
NJ
09/22/2008 - 11/01/2008
HUDSON SECURITIES,INC. (JERSEY CITY NJ)
NY
01/16/2008 - 07/01/2008
KNIGHT EQUITY MARKETS, L.P. (PURCHASE NY)
CT
11/13/2001 - 01/10/2008
CRT CAPITAL GROUP LLC (STAMFORD CT)
NY
06/16/1998 - 03/01/2000
SPENCER TRASK SECURITIES INCORPORATED (NEW YORK NY)
NY
06/16/1997 - 06/18/1998
SUNRISE SECURITIES CORP. (NEW YORK NY)
NY
04/15/1997 - 06/13/1997
BELLE HAVEN INVESTMENTS (RYE BROOK NY)
MD
03/06/1996 - 04/24/1997
BT SECURITIES CORPORATION (BALTIMORE MD)
NY
09/24/1984 - 10/25/1995
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BOTH
Issued 01/28/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/10/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/18/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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