Vincent R. Brennan
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 Brennan was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1988. Vincent had worked at 8 firms and has passed the Series 63, Series 7 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
November 13, 2002 - September 23, 2003
USALLIANZ SECURITIES, INC.
April 7, 1999 - October 4, 2002
USALLIANZ SECURITIES, INC.
June 20, 1997 - September 8, 1997
IDS LIFE INSURANCE COMPANY
June 20, 1997 - September 8, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
May 21, 1996 - May 2, 1997
LEGEND MERCHANT GROUP, INC.
September 16, 1994 - October 18, 1995
FAIRCHILD FINANCIAL GROUP, INC.
June 2, 1992 - September 21, 1994
J. GREGORY & COMPANY, INC.
October 12, 1990 - May 27, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 4, 1988 - September 27, 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
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
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.
