Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vikas? Claim Your ProfileVikas Gauba is a financial professional with over 20 years of experience in the industry. Vikas is currently registered with Smbc Nikko Securities America, Inc. in New York. Vikas holds a number of professional licenses including Series 7, Series 9, Series 10 and Series 63. Vikas has previously worked at RBC Capital Markets, LLC and Deutsche Bank Securities Inc., also in New York.
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
NY
04/09/2024 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
05/18/2017 - 04/10/2024
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
11/13/2001 - 05/23/2017
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BC
Issued 11/15/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/29/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/12/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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