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Vincent J. Montagna

Some features on this profile are disabled
CRD#: 2513679
VM

Professional summary

Vincent Joseph Montagna JR was barred by the SEC 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 4 firms, which includes GLOBAL CAPITAL MARKETS LLC, GLENN MICHAEL FINANCIAL INC., DUKE & CO. INC., INVESTORS ASSOCIATES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Vincent Joseph Montagna | Vinnie Montagna

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

October 13, 1999 - December 9, 1999

GLOBAL CAPITAL MARKETS, LLC

BD
CRD#: 16191
MELVILLE, NY
Past

March 3, 1997 - October 29, 1997

GLENN MICHAEL FINANCIAL, INC.

BD
CRD#: 37912
MELVILLE, NY
Past

February 24, 1995 - August 16, 1996

DUKE & CO., INC.

BD
CRD#: 8035
NEW YORK, NY
Past

October 3, 1994 - March 1, 1995

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ

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
RR
Series 63
Date: 3/23/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/1996
General Securities Principal Examination

Current Firm

GC
GLOBAL CAPITAL MARKETS, LLC
GLOBAL CAPITAL MARKETS, LLC | THE J.B. SUTTON GROUP, LLC | THE J.B. SUTTON GROUP, INC.

CRD#: 16191 / SEC#: , 8-33457

BD
Terminated by SEC on 03/25/2001
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Oregon since 03/28/1984
Firm type
Limited Liability Company
Fiscal year end
October
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
EASTBROKERS INTERNATIONAL INC.MEMBER
BICKELL, LEIGH MARIECFO2800789
KORWASKY, JOSEPH CHARLESCCO730276
SCHOFFMAN, STEPHEN CHARLESSECRETARY732739
SIEGEL, JONATHAN DAVIDPRESIDENT /CEO1736134

Disclosures

Regulatory Event4
Arbitration4

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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Company Information

GLOBAL CAPITAL MARKETS, LLC

CRD#: 16191

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