Vincent A. Maresco
Professional summary
Vincent Anthony Maresco was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vincent is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Vincent had worked at 11 firms, which includes INSTITUTIONAL EQUITY CORPORATION, PLATINUM EQUITIES INC., WHITEHALL WELLINGTON INVESTMENTS INC., THE THERMOPYLAE GROUP INC., FIRST PROVIDENCE FINANCIAL GROUP LLC, S. D. COHN & CO. INC., FIRST METROPOLITAN SECURITIES INC., LT LAWRENCE & CO. INC., MEYERS POLLOCK ROBBINS INC., HANOVER STERLING & COMPANY LTD., CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 1999 - January 27, 2000
INSTITUTIONAL EQUITY CORPORATION
August 27, 1998 - February 2, 1999
PLATINUM EQUITIES, INC.
March 15, 1998 - August 17, 1998
WHITEHALL WELLINGTON INVESTMENTS, INC.
November 20, 1997 - February 24, 1998
THE THERMOPYLAE GROUP, INC.
September 19, 1997 - October 2, 1997
FIRST PROVIDENCE FINANCIAL GROUP, LLC
August 8, 1996 - October 1, 1996
S. D. COHN & CO., INC.
January 5, 1996 - August 1, 1996
FIRST METROPOLITAN SECURITIES, INC.
July 25, 1995 - December 19, 1995
LT LAWRENCE & CO., INC.
December 8, 1994 - May 23, 1995
MEYERS POLLOCK ROBBINS, INC.
September 13, 1994 - November 9, 1994
HANOVER, STERLING & COMPANY LTD.
June 7, 1994 - July 26, 1994
CONTINENTAL BROKER-DEALER CORP.
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 62
Date: 11/9/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
INSTITUTIONAL EQUITY CORPORATION
CRD#: 19628 / SEC#: , 8-37654
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTITUTIONAL EQUITY HOLDINGS, INC. | COMMON SHAREHOLDER | |
| SHUEY, ROBERT ALTON | MANAGING DIRECTOR OF CORPORATE FINANCE | 710362 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
Red Flags
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