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Ximena Lorena Vaca

Finalis Securities LLC

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About Ximena Lorena Vaca

Ximena Lorena Vaca is a financial professional with over 30 years of experience in the industry. Ximena is currently registered with Finalis Securities LLC and has been working with them since January 2021. Ximena has a broad range of experience, having previously worked with Friedman, Billings, Ramsey & Co., Inc., Corporate Securities Group, Inc., and other firms. Ximena holds a Series 7, 63, 79, 82 and SIE licenses.

Firm Information

Ximena Vaca is currently registered with Finalis Securities LLC. Finalis Securities LLC is a Limited Liability Company formed in September 2019. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

337

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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Ximena Vaca’s Registration & Firm History

NY

01/25/2021 - Present

Finalis Securities LLC (New York NY)

CA

11/03/1989 - 05/29/1998

FRIEDMAN, BILLINGS, RAMSEY & CO., INC. (LOS ANGELES CA)

MO

07/21/1989 - 11/11/1989

CORPORATE SECURITIES GROUP, INC. (ST. LOUIS MO)

NA

06/28/1989 - 07/27/1989

HERITAGE FINANCIAL INVESTMENTS CORPORATION

DC

06/01/1988 - 07/06/1989

JOHNSTON, LEMON & CO. INCORPORATED (WASHINGTON DC)

NA

03/14/1988 - 06/15/1988

BRADLEY & COMPANY, INC.

NA

02/23/1984 - 11/19/1984

ADAMS, HARKNESS & HILL, INC.

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Licenses & Designations

BC

Issued 03/22/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/19/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 12/17/2021

Series 7TO - General Securities Representative Examination

BC

Issued 01/25/2021

Series 82TO - Limited Representative-Private Securities Offerings

BC

Issued 11/02/2020

SIE - Securities Industry Essentials Examination

BC

Issued 01/16/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ximena Lorena Vaca.
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