Vincent G. Avallone
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 George Avallone, who also goes by VIncent George Avallone, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1983. Vincent had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2004 - December 13, 2012
PRIME CAPITAL SERVICES, INC.
August 1, 2003 - April 8, 2004
WALNUT STREET SECURITIES, INC.
September 30, 1985 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
November 16, 1984 - March 31, 1986
WS GRIFFITH SECURITIES, INC.
October 28, 1983 - April 25, 1984
WS GRIFFITH 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
Current Firm
PRIME CAPITAL SERVICES, INC.
CRD#: 18334 / SEC#: , 8-36492
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
