Vincent M. Monaco
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 Michael Monaco was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 2000. Vincent had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2013 - July 2, 2014
M&T SECURITIES, INC.
May 7, 2013 - July 2, 2014
M&T SECURITIES, INC.
March 26, 2013 - April 15, 2013
HSBC SECURITIES (USA) INC.
November 27, 2012 - April 15, 2013
HSBC SECURITIES (USA) INC.
September 20, 2010 - March 29, 2012
VALIC FINANCIAL ADVISORS, INC.
December 4, 2009 - October 8, 2010
HORNOR, TOWNSEND & KENT, LLC
October 19, 2007 - June 24, 2009
BANCNORTH INVESTMENT GROUP, INC.
November 22, 2004 - November 18, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 19, 2001 - November 23, 2004
DAVID LERNER ASSOCIATES, INC.
October 20, 2000 - May 1, 2001
MORGAN STANLEY DW 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
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | PRINCIPAL FINANCIAL OFFICER/FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 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.
