Vincent C. Forte
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 Charles Forte, who also goes by VIncent Charles Forte, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1984. Vincent had worked at 13 firms and has passed the Series 66, Series 63, Series 65, 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
April 4, 2011 - January 4, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 19, 2010 - January 4, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 20, 2010 - March 23, 2010
TRUIST INVESTMENT SERVICES, INC.
June 18, 2008 - March 23, 2010
TRUIST INVESTMENT SERVICES, INC.
January 23, 2003 - October 30, 2003
QUEST CAPITAL STRATEGIES, INC.
May 30, 2000 - December 31, 2000
INVESTMENT CENTERS OF AMERICA, INC.
April 30, 1997 - February 12, 2001
INVEST FINANCIAL CORPORATION
February 18, 1994 - August 21, 1995
DETWILER FENTON WEALTH MANAGEMENT INC
February 6, 1992 - February 28, 1994
IDS LIFE INSURANCE COMPANY
February 6, 1992 - February 28, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
September 18, 1989 - May 3, 1990
MORGAN STANLEY DW INC.
May 17, 1988 - September 20, 1989
F.N. WOLF & CO., INC.
February 2, 1987 - May 20, 1988
SHERWOOD CAPITAL, INC.
September 25, 1984 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
