Vincent Barone
Professional summary
Vincent Barone 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 1995. Prior to being barred, Vincent had worked at 7 firms, which includes BNY MELLON SECURITIES CORPORATION, FIRST NATIONAL EQUITY CORP., TEXAS CAPITAL SECURITIES INC., T.L. GROUP INC., ROYCE INVESTMENT GROUP INC., INVESTORS ASSOCIATES INC., CORTLANDT CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 1998 - September 17, 1998
BNY MELLON SECURITIES CORPORATION
February 6, 1997 - March 2, 1998
FIRST NATIONAL EQUITY, CORP.
November 19, 1996 - February 5, 1997
TEXAS CAPITAL SECURITIES, INC.
August 20, 1996 - December 16, 1996
FIRST NATIONAL EQUITY, CORP.
May 3, 1996 - October 11, 1996
T.L. GROUP, INC.
September 26, 1995 - March 25, 1996
ROYCE INVESTMENT GROUP, INC.
June 1, 1995 - October 4, 1995
INVESTORS ASSOCIATES, INC.
May 10, 1995 - June 7, 1995
CORTLANDT CAPITAL CORPORATION
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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: 5/9/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
