Vincent D. Barnes
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 D Barnes, who also goes by VInce Barnes, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1995. Vincent had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2016 - October 5, 2017
INSTITUTIONAL CASH DISTRIBUTORS, LLC
January 2, 2014 - December 3, 2015
FIS BROKERAGE & SECURITIES SERVICES LLC
June 6, 2003 - December 31, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
August 12, 2002 - June 6, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
April 29, 2002 - August 22, 2002
RYAN BECK & CO.
October 19, 1999 - May 15, 2002
GRUNTAL & CO., L.L.C.
February 13, 1998 - September 3, 1999
BNY MELLON SECURITIES CORPORATION
July 25, 1995 - February 6, 1998
J. B. HANAUER & CO.
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
INSTITUTIONAL CASH DISTRIBUTORS, LLC
CRD#: 149635 / SEC#: , 8-68161
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICD INTERMEDIATE HOLDCO 2 LLC | HOLDING COMPANY | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| HAZARD, VICTOR JAMES IV | CEO / COO | 1871503 |
| KAHNEY, DOUGLAS RYAN | CHIEF COMPLIANCE OFFICER | 4903813 |
| NEWTON, THOMAS PHILLIP | MANAGING DIRECTOR | 2114728 |
| PITTINSKY, JONATHAN DAVID | CFO/FINOP | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
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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