Vincent J. Garone
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 Joseph Garone, CFP® was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1984. Vincent had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2016 - April 12, 2017
VANGUARD ADVISERS, INC.
June 16, 1999 - April 12, 2017
VANGUARD MARKETING CORPORATION
October 22, 1990 - January 5, 1998
ENERIC FINANCIAL SERVICES, INC.
November 30, 1988 - September 13, 1990
CHRISTOPHER WEIL & COMPANY, INC.
November 3, 1988 - December 19, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
February 29, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
March 22, 1984 - March 29, 1988
QUOX, INCORPORATED
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
