Vincent J. Spallone
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 Joseph Spallone, who also goes by VInce Spallone Jr, Vince Spallone, Vincent J Spallone, Vincent Joseph Spallone Jr, Vinnie Spallone Jr, Vinnie Spallone, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1987. Vincent had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2013 - July 17, 2013
FIRST BROKERAGE AMERICA, L.L.C.
March 4, 2013 - July 17, 2013
FIRST BROKERAGE AMERICA, L.L.C.
November 9, 2011 - March 5, 2013
LINCOLN INVESTMENT
October 31, 2011 - March 5, 2013
LINCOLN INVESTMENT
September 15, 2010 - November 2, 2011
VALIC FINANCIAL ADVISORS, INC.
May 24, 2010 - November 2, 2011
VALIC FINANCIAL ADVISORS, INC.
May 10, 2007 - December 11, 2008
STRATEGIC ADVISERS LLC
December 20, 2002 - December 11, 2008
FIDELITY BROKERAGE SERVICES LLC
April 15, 1993 - December 3, 2002
CITISTREET EQUITIES LLC
July 26, 1991 - April 20, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
July 7, 1989 - July 3, 1991
TOWER SQUARE SECURITIES, INC.
December 11, 1987 - July 17, 1989
NYLIFE SECURITIES LLC
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
FIRST BROKERAGE AMERICA, L.L.C.
CRD#: 43431 / SEC#: , 8-50271
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELLEN C. DIERBERG FAMILY TRUST | OWNER | |
| JAMES F. DIERBERG II FAMILY TRUST | OWNER | |
| MICHAEL J. DIERBERG FAMILY TRUST | OWNER | |
| DIERBERG, MARY WELP | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | 4053054 |
| FIRST BANKS, INC | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | |
| FURMAN, EDWARD DAVID | MSRB PRINCIPAL | 1426353 |
| PRESSON, DAVID ALAN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER | 1237920 |
| ROBERTS, SARAH ANN | OPERATIONS MANAGER | 2472587 |
| TODD, EUGENE REEVES | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 2639876 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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