Vincent M. Barone
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 Barone, who also goes by VIncent Barone, Vinny Barone, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1987. Vincent had worked at 15 firms and has passed the Series 63, SIE 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
November 13, 2017 - December 31, 2021
SECURITIES AMERICA, INC.
January 18, 2013 - November 8, 2017
NATIONAL PLANNING CORPORATION
July 1, 2010 - December 31, 2012
MADISON AVENUE SECURITIES, LLC
September 17, 2008 - July 6, 2010
EQUITABLE ADVISORS, LLC
March 23, 2005 - September 18, 2008
HORNOR, TOWNSEND & KENT, LLC
November 4, 1998 - March 23, 2005
MONY SECURITIES CORPORATION
January 2, 1998 - October 1, 1998
CADARET, GRANT & CO., INC.
February 20, 1995 - January 2, 1998
PINEBRIDGE SECURITIES LLC
October 19, 1994 - December 31, 1994
NATHAN & LEWIS SECURITIES, INC.
January 26, 1994 - October 18, 1994
OSAIC WEALTH, INC.
November 12, 1992 - October 15, 1993
LPL FINANCIAL LLC
January 23, 1991 - August 17, 1992
NYLIFE SECURITIES LLC
June 26, 1990 - September 28, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 26, 1990 - September 28, 1990
PRUCO SECURITIES, LLC.
August 18, 1987 - January 23, 1990
CIBC WORLD MARKETS CORP.
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
