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VL

Vincent Lupo

US TIGER SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 1478037
VL

Professional summary

Vincent Lupo JR., who also goes by VInce Lupo, Vincent Lupo Jr, Vincent Lupo, is a registered financial professional currently at US TIGER SECURITIES, INC. located in New York, New York and TRADEUP SECURITIES, INC. located in Roseland, New Jersey.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 1988. Vincent has worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Vince Lupo | Vincent Lupo Jr | Vincent Lupo

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) - BD

Click below to view Vincent Lupo JR.'s CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

April 20, 2021 - Present

US TIGER SECURITIES, INC.

Office #1: 437 Madison Ave 27th Floor, New York, NY 10022
BD
CRD#: 120583
New York, NY
Current

April 20, 2021 - Present

TRADEUP SECURITIES, INC.

Office #1: 101 Eisenhower Parkway, Roseland, NJ 07068
BD
CRD#: 18483
Roseland, NJ
Past

October 1, 2019 - April 5, 2021

CLEAR STREET LLC

BD
CRD#: 288933
NEW YORK, NY
Past

January 24, 2017 - November 12, 2019

ELECTRONIC TRANSACTION CLEARING, INC.

BD
CRD#: 146122
New York, NY
Past

July 15, 2016 - February 9, 2017

MIRAE ASSET SECURITIES (USA) INC.

BD
CRD#: 30679
NEW YORK, NY
Past

December 3, 2012 - July 14, 2016

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC

BD
CRD#: 131487
NEW YORK, NY
Past

May 13, 2011 - July 6, 2012

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

February 19, 2004 - May 6, 2011

JEFFERIES LLC

BD
CRD#: 2347
JERSEY CITY, NJ
Past

April 17, 2000 - February 11, 2004

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

February 4, 1999 - April 19, 2000

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

September 14, 1996 - February 1, 1999

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

November 23, 1988 - June 27, 1996

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(4/20/2021)
RR
New York
(4/20/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/26/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/2/2012
General Securities Principal Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
TRADEUP SECURITIES, INC.
MARSCO INVESTMENT CORPORATION | TRADEUP SECURITIES, INC.

CRD#: 18483 / SEC#: , 8-36754

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
437 Madison Ave 27th Floor, New York, NY 10022
Mailing Address
437 Madison Ave 27th Floor, New York, NY 10022
Phone number
(973) 228-2886
Established
New Jersey since 09/03/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TIGER FINTECH HOLDINGS INC.DOMESTIC ENTITY
HUANG, LEIBOARD OF DIRECTOR5248191
HUANG, LEICEO5248191
LIANG, CEHEAD OF FINANCE/ PFO7554601
LIU, YOUQINGFINOP/POO/CFO5893930
LUPO, VINCENT JR.CHIEF OPERATIONS OFFICER1478037
YE, GUANWUCCO5985247

Disclosures

Regulatory Event4

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

TRADEUP SECURITIES, INC.

CRD#: 18483New York, NY 10022

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