Vincent F. Gauci
Professional summary
Vincent Frank Gauci is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Livonia, Michigan.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 1983. Vincent has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vincent Frank Gauci's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 29432 Joy Road, Livonia, MI 48150October 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
(5/2/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current 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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