Vincent F. Gauci
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Vincent Frank Gauci was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1983. Vincent had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2022 - April 30, 2026
PURSHE KAPLAN STERLING INVESTMENTS
October 15, 2014 - February 18, 2022
CORECAP INVESTMENTS, LLC
January 25, 2008 - October 15, 2014
KCD FINANCIAL, INC.
December 1, 2006 - January 25, 2008
QUESTAR CAPITAL CORPORATION
November 14, 2005 - December 1, 2006
USALLIANZ SECURITIES, INC.
January 5, 2004 - November 21, 2005
INTERVEST INTERNATIONAL EQUITIES CORPORATION
November 19, 1998 - January 7, 2004
USALLIANZ SECURITIES, INC.
May 18, 1998 - October 5, 1998
MML INVESTORS SERVICES, LLC
February 8, 1983 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 8, 1983 - June 9, 1997
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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