Vincent Maritato
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 Maritato was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1994. Vincent had worked at 6 firms and has passed the Series 63, 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
June 22, 2011 - February 14, 2012
NATIONAL SECURITIES CORPORATION
February 23, 2001 - June 20, 2011
DPEC CAPITAL, INC.
November 23, 1999 - March 1, 2001
JOSEPH STEVENS & CO., INC.
June 17, 1997 - November 24, 1999
LCP CAPITAL CORP.
December 14, 1995 - June 24, 1997
NORTHEAST SECURITIES, LLC
August 22, 1994 - December 14, 1995
NICHOLS, SAFINA, LERNER & CO. INC.
March 1, 1994 - August 25, 1994
LCP CAPITAL CORP.
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
