Vincent M. Croutier
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 Martin Croutier was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1982. Vincent had worked at 12 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2011 - January 9, 2013
CAPSTONE INVESTMENTS
January 3, 2008 - May 5, 2011
B. RILEY & CO., LLC
July 30, 1999 - October 19, 2007
GLEACHER & COMPANY SECURITIES, INC.
June 28, 1993 - July 30, 1999
ABN AMRO SECURITIES LLC
May 20, 1993 - June 4, 1993
REICH & CO., INC.
October 25, 1991 - July 14, 1992
CREDIT AGRICOLE SECURITIES (USA) INC.
September 28, 1990 - August 28, 1991
MARTIN SIMPSON & COMPANY, INC.
January 9, 1989 - April 3, 1990
PRESCOTT, BALL & TURBEN, INC.
July 24, 1985 - January 19, 1989
MABON, NUGENT & CO.
May 29, 1985 - July 19, 1985
HUDSON SECURITIES,INC.
September 10, 1984 - April 8, 1985
CRALIN & CO., INC.
November 24, 1982 - September 20, 1984
THOMSON MCKINNON SECURITIES INC.
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 55
Date: 5/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
CAPSTONE INVESTMENTS
CRD#: 41400 / SEC#: , 8-49400
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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