John Joseph Vincent
Professional Summary
John Joseph Vincent was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1986 - 1995. John had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
FENESCO FINANCIAL ENTERPRISES, INC. | NBC CAPITAL MARKETS GROUP, INC. | NBC CAPITAL MARKETS GROUP
Contact Information
Established
Tennessee since 12/13/1985Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL BANK OF COMMERCE | 100% STOCKHOLDER | — |
| ANDERSON, APRIL SHAWN | CHIEF COMPLIANCE OFFICER | 4749858 |
| BENNETT, THOMAS BRIAN | CO- DIRECTOR OF FIXED INCOME RESEARCH, GENERAL SECURITIES PRINCIPAL | 2785252 |
| DAVIS, SCOTT MITCHELL | SENIOR VICE PRESIDENT AND DIRECTOR OF FIXED INCOME RESEARCH, GENERAL SECURITIES PRINCIPAL | 2934988 |
| EDRINGTON, JAMES WRIGHT | GENERAL SECURITIES PRINCIPAL | 2109073 |
| GILMORE, JOSEPH WADE SR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 831732 |
| GRUBER, SCOTT JAY | DIRECTOR, LIMITED SALES PRINCIPAL, SALES MANAGER | 1146139 |
| MANSBERG, ROY DANIEL | RETAIL GENERAL SECURITIES PRINCIPAL | 1540758 |
| MARTIN, BRADLEY MILES | DIRECTOR, FIN OP, SENIOR VICE PRESIDENT | 3146796 |
| PITTS, JOHN THOMAS JR | DIRECTOR, FIRST VICE PRESIDENT | 2342184 |
| SASLAWSKY, ANDREW MICHAEL | DIRECTOR, FIRST VICE PRESIDENT | 1582545 |
| SCHEIDT, RUDI EGON JR | PRESIDENT, DIRECTOR | 2109131 |
Disclosures
Regulatory Event
5Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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