Owen V. Flippo
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.
Owen Vincent Flippo, who also goes by VInce Flippo, was a registered financial professional .
Owen is a previously registered financial professional and started their career in finance in 1971. Owen had worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2010 - April 29, 2021
SPC
January 8, 1999 - April 29, 2021
SIGMA FINANCIAL CORPORATION
April 12, 1985 - January 22, 1999
PRINCIPAL SECURITIES, INC.
July 5, 1977 - April 2, 1985
U.S. MUTUAL SECURITIES CORP.
September 4, 1975 - May 27, 1986
ILG SECURITIES CORPORATION
July 7, 1971 - November 11, 1974
ALEXANDER HAMILTON FINANCIAL INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/1/1971
Registered Representative ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
