Vincent J. Ferrara
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 Ferrara, who also goes by VInny Ferrara, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1993. Vincent had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51, Series 24 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
August 24, 2012 - May 27, 2026
ALLSTATE FINANCIAL SERVICES, LLC
January 19, 2011 - August 7, 2012
CETERA WEALTH SERVICES, LLC
August 28, 2008 - December 13, 2010
LPL FINANCIAL LLC
June 21, 2006 - September 2, 2008
ESSEX NATIONAL SECURITIES, LLC
October 5, 2005 - June 21, 2006
PFIC SECURITIES CORPORATION
September 11, 1998 - October 5, 2005
FISERV INVESTOR SERVICES, INC.
March 31, 1998 - September 11, 1998
PFS INVESTMENTS INC.
February 20, 1998 - March 17, 1998
WMA SECURITIES, INC.
December 3, 1993 - February 25, 1998
PFS INVESTMENTS 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
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| 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.
