Vincent N. Au
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 Nmn Au, who also goes by VIncent Au, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1990. Vincent had worked at 13 firms and has passed the Series 63, Series 55, Series 7, Series 4 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
June 27, 2012 - November 25, 2013
JOHN CARRIS INVESTMENTS LLC
June 25, 2012 - June 27, 2012
AXIOM CAPITAL MANAGEMENT, INC.
August 4, 2011 - July 18, 2012
AEGIS CAPITAL CORP.
February 6, 2003 - April 16, 2003
U.S. FINANCIAL INVESTMENTS, INC.
October 5, 1998 - August 3, 2011
AVALON PARTNERS, INC.
June 30, 1997 - September 18, 1998
SOLID ISG CAPITAL MARKETS, LLC
March 28, 1996 - April 1, 1997
PRIME CHARTER LTD.
October 12, 1994 - April 3, 1996
JOSEPHTHAL & CO., INC.
January 25, 1994 - October 26, 1994
D. BLECH & COMPANY, INCORPORATED
February 25, 1993 - December 21, 1993
GRUNTAL & CO., L.L.C.
June 24, 1991 - February 8, 1993
BUTTONWOOD SECURITIES, INC.
October 26, 1990 - June 18, 1991
SUNPOINT SECURITIES, INC.
January 23, 1990 - September 10, 1990
D. H. BLAIR & CO., 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
Series 55
Date: 9/17/2012
Limited Representative-Equity Trader ExamCurrent Firm
JOHN CARRIS INVESTMENTS LLC
CRD#: 145767 / SEC#: , 8-67751
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVICTUS CAPITAL INC | HOLDING COMPANY | |
| CARRIS, GEORGE WILLIAM MR. | CEO, COO, CCO | 3079577 |
| CLARK, MICHAEL KEVIN | MANAGING DIRECTOR | |
| NELSON, STEVEN | OWNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
