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CR

Carl L. Rinaldi

VIGILANT DISTRIBUTORS
Chadds Ford, PA 19317
Some features on this profile are disabled
CRD#: 1677225
CR
Carl Leonard RinaldiVIGILANT DISTRIBUTORS

Professional summary

Carl Leonard Rinaldi is a registered financial professional currently at VIGILANT DISTRIBUTORS, LLC located in Chadds Ford, Pennsylvania.

Carl is registered as a RR (Registered Representative) and started their career in finance in 1987. Carl has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carl Leonard Rinaldi's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 30, 2026 - Present

VIGILANT DISTRIBUTORS, LLC

Office #1: 223 Wilmington West Chester Pike Suite 216, Chadds Ford, PA 19317
BD
CRD#: 285573
Chadds Ford, PA
Past

December 7, 2000 - June 3, 2013

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NEW YORK, NY
Past

June 11, 1992 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

BD
CRD#: 1232
NEW YORK, NY
Past

September 23, 1987 - December 23, 1991

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(8/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 6/16/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/29/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/13/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/9/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/20/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/21/2003
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

VD
VIGILANT DISTRIBUTORS, LLC
HERALD INVESTMENT MARKETING, LLC | VIGILANT DISTRIBUTORS, LLC

CRD#: 285573 / SEC#: , 8-69854

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
Mailing Address
Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
Phone number
(484) 840-3701
Established
Pennsylvania since 06/13/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
CHADDS FORD INVESTMENT MANAGEMENT, LLCOWNER
CHISM, PATRICK ANDREWCEO AND CCO2875421
FAIA, SALVATORE ROCCO IIPRINCIPAL OPERATIONS OFFICER6813402
SCARPATI, GERARDCFO AND PRINCIPAL FINANCIAL OFFICER2313132

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.

Company Information

VIGILANT DISTRIBUTORS, LLC

CRD#: 285573Chadds Ford, PA 19317

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