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Rocco A. Vignola

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CRD#: 1290755
RV

Professional summary

Rocco Anthony Vignola was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rocco is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Rocco had worked at 4 firms, which includes 21ST CENTURY FINANCIAL SERVICES INC., JARON EQUITIES CORP., UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, PRUCO SECURITIES LLC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 25, 1997 - April 8, 1998

21ST CENTURY FINANCIAL SERVICES, INC.

BD
CRD#: 42750
EAST MEADOW, NY
Past

February 3, 1997 - April 9, 1997

JARON EQUITIES CORP.

BD
CRD#: 5764
HICKSVILLE, NY
Past

February 12, 1996 - December 31, 1996

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

July 30, 1985 - July 7, 1994

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/28/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 7/29/1985
Investment Company Products/Variable Contracts Representative Examination

Current Firm

2C
21ST CENTURY FINANCIAL SERVICES, INC.
21ST CENTURY FINANCIAL SERVICES, INC.

CRD#: 42750 / SEC#: , 8-49986

BD
Terminated by SEC on 10/09/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/02/1996
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GOLDSTEIN, LOIS MYRASENIOR VICE PRESIDENT / SECRETARY1491890
KINDLER, SERGIOEXECUTIVE VICE PRESIDENT1690597
MAZZIOTTI, CHARLESPRESIDENT/FINOP/CCO1968503
CROWE, KEVIN ALLENSENIOR VICE PRESIDENT1623534

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.

Company Information

21ST CENTURY FINANCIAL SERVICES, INC.

CRD#: 42750

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