Vincent R. Traina
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 Robert Traina was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1986. Vincent had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2002 - September 10, 2002
RICHMARK CAPITAL CORPORATION
December 12, 1995 - April 28, 2000
JOSEPHTHAL & CO., INC.
April 28, 1995 - November 20, 1995
FIRST ASSET MANAGEMENT, INC.
August 12, 1994 - March 30, 1995
JOSEPHTHAL & CO., INC.
March 18, 1994 - August 8, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
July 6, 1993 - February 22, 1994
REYNOLDS KENDRICK STRATTON, INC.
April 26, 1991 - June 22, 1993
CHELSEA STREET SECURITIES, INC.
November 6, 1990 - April 23, 1991
BLUESTONE CAPITAL CORP.
March 2, 1989 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
January 11, 1989 - March 4, 1989
BRENNAN ROSS SECURITIES, INC.
August 3, 1988 - January 18, 1989
GRAYSTONE NASH, INC.
August 21, 1986 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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
RICHMARK CAPITAL CORPORATION
CRD#: 43162 / SEC#: , 8-50150
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RMC 1 CAPITAL MARKETS, INC. | HOLDING COMPANY | |
| WHITE, DOYLE MARK | SECRETARY/TREASURER, DIRECTOR | 2212634 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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