Vincent W. Cardinal

AREAM ADVISORS

SAN FRANCISCO, CA 94105

CRD#: 1501493

Some features on this profile are disabled

Professional summary

Vincent Watson Cardinal, who also goes by VIncent Cardinal, is a registered financial professional currently at AREAM ADVISORS LLC located in San Francisco, California and FCA CAPITAL MARKETS LLC located in Denver, Colorado.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 1993. Vincent has worked at 13 firms and has passed the Series 65, Series 63, Series 82TO, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 14, Series 24, Series 4 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Vincent Cardinal

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 Watson Cardinal's 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

December 2, 2025 - Present

AREAM ADVISORS LLC

Office #1: 625 Market Street Suite 700, San Francisco, CA 94105

CRD#: 318177

SAN FRANCISCO, CA

Current

June 4, 2026 - Present

FCA CAPITAL MARKETS LLC

Office #1: 240 Saint Paul Street Suite 400, Denver, CO 80206

CRD#: 322688

DENVER, CO

Past

November 2, 2023 - February 6, 2025

FLAGSTAR ADVISORS

CRD#: 104233

New York, NY

Past

May 3, 2022 - September 22, 2023

BBVA SECURITIES INC.

CRD#: 27060

NEW YORK, NY

Past

December 17, 2020 - February 17, 2022

WEILD & CO.

CRD#: 132398

BOULDER, CO

Past

December 6, 2012 - January 16, 2019

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

August 8, 2012 - October 19, 2012

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

CRD#: 8010

NEW YORK, NY

Past

June 15, 2011 - August 3, 2012

ROBOTTI SECURITIES, LLC

CRD#: 13251

NEW YORK, NY

Past

July 18, 2005 - April 5, 2011

NATIXIS SECURITIES AMERICAS LLC

CRD#: 1101

NEW YORK, NY

Past

September 14, 1999 - July 6, 2005

CIC MARKET SOLUTIONS, INC.

CRD#: 47069

NEW YORK, NY

Past

October 27, 1997 - March 25, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 13, 1995 - October 23, 1997

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

November 29, 1993 - September 12, 1995

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(12/2/2025)

Delaware
(12/2/2025)

Florida
(12/2/2025)

Kentucky
(12/2/2025)

Nevada
(12/2/2025)

New Hampshire
(12/2/2025)

New York
(12/2/2025)

Texas
(12/2/2025)

Washington
(12/2/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/12/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/20/1999

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/26/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 14

Date: 10/23/2009

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 9/10/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/16/1996

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 8/15/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

FCA CAPITAL MARKETS LLC

CRD#: 322688 / SEC#: , 8-70970

Broker-Dealer Firm Regulated by FINRA (Denver district office)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

240 Saint Paul Street Suite 400, Denver, CO 80206

Mailing Address

240 Saint Paul Street Suite 400, Denver, CO 80206

Phone number

(303) 501-8880

Established

Delaware since 06/27/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FORUM INVESTMENT GROUP LLC	MEMBER
LAROSE, JENNIFER	CEO, CCO	3094139
RYAN, KIMBERLY ANN	FINOP, POO, PFO	4316310

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.

Similar Advisors

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Jason Fang

TERRAFIRMA WEALTH PARTNERS

IAR

WALNUT CREEK, CA

Michael Ginsberg

GINSBERG FINANCIAL STRATEGIES

IAR

Walnut Creek, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Vincent W. Cardinal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent Watson Cardinal's CRS (Customer Relationship Summary).

Certified licenses

Experience

FCA CAPITAL MARKETS LLC

FLAGSTAR ADVISORS

BBVA SECURITIES INC.

WEILD & CO.

HSBC SECURITIES (USA) INC.

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

ROBOTTI SECURITIES, LLC

NATIXIS SECURITIES AMERICAS LLC

CIC MARKET SOLUTIONS, INC.

CITICORP INVESTMENT SERVICES

TUCKER ANTHONY INCORPORATED

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/1999

Series 63

Date: 4/12/1994

Series 82TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 7/20/1999

Series 7

Date: 11/26/1993

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 14

Date: 10/23/2009

Series 24

Date: 9/10/1998

Series 4

Date: 9/16/1996

Series 8

Date: 8/15/1994

FINRA

Current Firm

FCA CAPITAL MARKETS LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FCA CAPITAL MARKETS LLC

TRUST BUT VERIFY

Similar Advisors