Vincent J. Delfini
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 James Delfini was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1990. Vincent had worked at 7 firms and has passed the Series 63, SIE, 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
July 14, 2009 - December 31, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
July 14, 2009 - December 31, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
July 14, 2009 - January 7, 2026
HARTFORD FUNDS DISTRIBUTORS, LLC
March 9, 2005 - December 31, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 23, 2000 - March 14, 2005
1717 CAPITAL MANAGEMENT COMPANY
February 25, 2000 - April 28, 2000
PRUCO SECURITIES, LLC.
November 16, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 16, 1990 - December 1, 1999
PRUCO 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
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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