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Vincent Cestone Ii

CRD# 2420922·Registered 1993 - 2018
Previously Registered: Being a previously registered professional could mean that Vincent 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.

Professional Summary

Vincent Cestone II, who also goes by VIncent Cestone, Vincent, II Cestone, Vinnie Cestone Ii, was a registered financial advisor. Vincent was a previously registered financial advisor and started their career in finance 1993 - 2018. Vincent had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Vincent Cestone, Vincent, Ii Cestone, Vinnie Cestone Ii

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

GEOFFREY RICHARDS SECURITIES CORP.·CRD# 120007
BD
Hypoluxo, FL
August 27, 2009 - October 31, 2018
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC·CRD# 133088
RIA
Red Bank, NJ
January 1, 2009 - September 24, 2009
GARDEN STATE SECURITIES, INC.·CRD# 10083
BD
West Orange, NJ
November 21, 2008 - August 3, 2009
FIRST MONTAUK SECURITIES CORP.·CRD# 13755
RIA
West Orange, NJ
February 23, 2004 - November 20, 2008
FIRST MONTAUK SECURITIES CORP.·CRD# 13755
BD
West Orange, NJ
November 16, 2001 - November 20, 2008
V.C. MANAGEMENT, L.L.C.·CRD# 128869
RIA
West Orange, NJ
August 17, 1999 - December 31, 2010
EISNER SECURITIES, INC.·CRD# 40585
BD
St. Louis, MO
May 21, 1999 - October 1, 2001
J. B. HANAUER & CO.·CRD# 6958
BD
Parsippany, NJ
November 24, 1993 - May 3, 1999

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Current Firm

GR
GEOFFREY RICHARDS SECURITIES CORP.

GEOFFREY RICHARDS SECURITIES CORP. | THE ALTERNATIVE INVESTMENT GROUP, INC.

CRD#: 120007 / SEC#: 8-65251
BD
Terminated by SEC on 03/03/2019

Contact Information

Main Address

7570 S. Federal Hwy Suite 1, Hypoluxo, FL 33462

Established

Florida since 02/05/2002

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LIDDY, GEOFFREY DOUGLASPRESIDENT3106882
LIDDY, GEOFFREY DOUGLASCHIEF COMPLIANCE OFFICER3106882
LIDDY, GEOFFREY DOUGLASFINANCIAL AND OPERATIONS PRINCIPAL3106882
LIDDY, GEOFFREY DOUGLASMUNICIPAL SECURITIES PRINCIPAL3106882
FERAZI, RICHARD ANTHONYVICE PRESIDENT2753207

Disclosures

Regulatory Event

2

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed May 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1994About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1993About the Series 7 exam

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CRS (Client Relationship Summary)

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

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