Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vincent? Claim Your ProfileVincent Surace is a registered representative with RBC Capital Markets, LLC, in Jersey City, New Jersey. Vincent has over 20 years of experience in the financial services industry. Vincent has passed the Series 7, 21, 25, 57TO, and SIE exams and holds a Series 63 license. Vincent has previously worked for AMERIVET SECURITIES, INC., IMC FINANCIAL MARKETS, Goldman, Sachs & Co., Goldman Sachs Execution & Clearing, L.P., and SPEAR, LEEDS & KELLOGG SPECIALISTS LLC. Vincent specializes in working with individuals, businesses, pension and profit-sharing plans, charitable organizations, corporations, and pooled investment vehicles.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NJ
04/10/2023 - Present
RBC Capital Markets, LLC (Jersey City NJ)
NY
06/01/2021 - 02/09/2023
AMERIVET SECURITIES, INC. (NEW YORK NY)
NY
08/18/2014 - 11/24/2020
IMC FINANCIAL MARKETS (New York NY)
NY
11/14/2011 - 08/25/2014
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
04/24/2008 - 11/14/2011
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)
NY
10/01/2000 - 11/14/2011
SPEAR, LEEDS & KELLOGG SPECIALISTS LLC (NEW YORK NY)
BC
Issued 02/05/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2021
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2008
Series 7 - General Securities Representative Examination
BC
Issued 06/22/2000
Series 21 - NYSE Front Line Specialist Clerk
BC
Issued 03/13/2000
Series 25 - NYSE Trading Assistant Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 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 American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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