Vincent J. Marsico

Some features on this profile are disabled

CRD#: 2263359

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 John Marsico was a registered financial professional .

Vincent is a previously registered financial professional and started their career in finance in 1992. Vincent had worked at 7 firms and has passed the Series 65, Series 63, Series 22, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 24, 2007 - February 25, 2013

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

VALENCIA, PA

Past

May 24, 2007 - February 25, 2013

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

VALENCIA, PA

Past

August 29, 2006 - May 24, 2007

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

VALENCIA, PA

Past

August 29, 2006 - May 24, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

VALENCIA, PA

Past

June 15, 2006 - August 11, 2006

EMMETT A LARKIN COMPANY, INC.

CRD#: 6625

VALENCIA, PA

Past

December 15, 2005 - June 9, 2006

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

VALENCIA, PA

Past

October 24, 2005 - June 9, 2006

CETERA WEALTH SERVICES, LLC

CRD#: 13572

VALENCIA, PA

Past

July 24, 2002 - December 31, 2005

BLUE VASE SECURITIES, LLC

RIA

CRD#: 46765

VALENCIA, PA

Past

January 30, 2001 - October 24, 2005

BLUE VASE SECURITIES, LLC

CRD#: 46765

WASHINGTON, PA

Past

January 5, 1994 - February 1, 2001

ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597

PITTSBURGH, PA

Past

November 3, 1992 - December 31, 1993

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 10/6/2003

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/29/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/8/2004

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC | WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830 / SEC#: 801-58292, 8-46964

Terminated by SEC on 02/04/2017

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

580 Fishers Station Drive, Victor, NY 14564

Mailing Address

Phone number

Established

New York since 04/08/1992

Firm type

Corporation

Fiscal year end

March

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
ANDERSON, DALE ROBERT	VICE PRESIDENT	1378651
BACHFINK, VICTORIA IRENE	PRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER	2653237
BACHFINK, VICTORIA IRENE	CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER	2653237

Disclosures

Regulatory Event	2
Arbitration	1

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Vincent J. Marsico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WALL STREET FINANCIAL GROUP, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EMMETT A LARKIN COMPANY, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

BLUE VASE SECURITIES, LLC

BLUE VASE SECURITIES, LLC

ALLEGHENY INVESTMENTS, LTD.

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/1999

Series 63

Date: 10/8/1992

Series 22

Date: 10/6/2003

Series 6

Date: 10/29/1992

Series 26

Date: 3/8/2004

Current Firm

WALL STREET FINANCIAL GROUP, INC.

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WALL STREET FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Similar Advisors