Dominic J. Vricella
Professional summary
Dominic Joseph Vricella was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dominic is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Dominic had worked at 5 firms, which includes PTS BROKERAGE LLC, IC ADVISORY SERVICES INC., THE INVESTMENT CENTER INC., 1717 CAPITAL MANAGEMENT COMPANY, MOORE & SCHLEY/MEEKER SHARKEY GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2007 - March 1, 2007
PTS BROKERAGE, LLC
June 2, 2006 - December 31, 2006
IC ADVISORY SERVICES, INC.
November 13, 2002 - June 2, 2006
THE INVESTMENT CENTER, INC.
April 21, 1993 - December 31, 2006
THE INVESTMENT CENTER, INC.
November 13, 1986 - March 25, 1993
1717 CAPITAL MANAGEMENT COMPANY
July 23, 1986 - December 13, 1988
MOORE & SCHLEY/MEEKER SHARKEY GROUP INC.
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
PTS BROKERAGE, LLC
CRD#: 119307 / SEC#: , 8-65173
Contact information
FINRA licenses (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 106,900,000 |
Red Flags
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