Vincent W. Cardinal
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 Watson Cardinal, who also goes by VIncent Cardinal, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1993. Vincent had worked at 11 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2023 - February 6, 2025
FLAGSTAR ADVISORS
May 3, 2022 - September 22, 2023
BBVA SECURITIES INC.
December 17, 2020 - February 17, 2022
WEILD & CO.
December 6, 2012 - January 16, 2019
HSBC SECURITIES (USA) INC.
August 8, 2012 - October 19, 2012
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
June 15, 2011 - August 3, 2012
ROBOTTI SECURITIES, LLC
July 18, 2005 - April 5, 2011
NATIXIS SECURITIES AMERICAS LLC
September 14, 1999 - July 6, 2005
CIC MARKET SOLUTIONS, INC.
October 27, 1997 - March 25, 1999
CITICORP INVESTMENT SERVICES
September 13, 1995 - October 23, 1997
TUCKER ANTHONY INCORPORATED
November 29, 1993 - September 12, 1995
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
FLAGSTAR ADVISORS
CRD#: 104233 / SEC#: 801-67767, 8-52697
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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 8/15/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FLAGSTAR ADVISORS
CRD#: 104233 / SEC#: 801-67767, 8-52697
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLAGSTAR BANK, N.A. | SHAREHOLDER | |
| FEIT, ADAM BRIAN | HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR | 3261251 |
| GERAGHTY, DOUGLAS P | CHIEF COMPLIANCE OFFICER, DIRECTOR | 6106821 |
| MCGLYNN, BRIAN JOSEPH | COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER | 4463942 |
| PAWANI, SHWETA PRABHUDAS | FINOP/CHIEF FINANCIAL OFFICER | 4934669 |
| PERRY, PHILIP VINCENT | CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL | 2120399 |
| PITTSEY, MARK ANDREW | HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR | 2226562 |
| RAFFETTO, RICHARD ALEXANDER | PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR | 3161430 |
| STERN, SETH WILLIAM | SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR | 7987857 |
Regulatory assets under management
| Total Number of Accounts | 1,571 |
| AUM (Assets Under Management) | $ 1,155,077,972 |
Disclosures
| Arbitration | 1 |
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.
