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Vladimir Avin

Some features on this profile are disabled
CRD#: 2625858
VA

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.

Vladimir Avin was a registered financial professional .

Vladimir is a previously registered financial professional and started their career in finance in 1997. Vladimir had worked at 9 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

April 16, 2010 - May 4, 2011

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
MIAMI, FL
Past

July 27, 2009 - March 29, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
PEMBROKE PINES, FL
Past

June 13, 2007 - June 2, 2009

OSAIC WEALTH, INC.

BD
CRD#: 23131
PEMBROKE PINES, FL
Past

October 5, 2006 - June 8, 2007

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
FT. LAUDERDALE, FL
Past

March 8, 2006 - September 18, 2006

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
PEMBROKE PINES, FL
Past

October 7, 2005 - February 6, 2006

OSAIC WEALTH, INC.

BD
CRD#: 23131
PEMBROKE PINES, FL
Past

January 7, 2002 - May 4, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

January 2, 2001 - January 8, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

November 20, 2000 - January 2, 2001

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

February 19, 1999 - November 16, 2000

FAS WEALTH MANAGEMENT SERVICES, INC.

BD
CRD#: 10164
SARASOTA, FL
Past

August 31, 1998 - January 29, 1999

FAS WEALTH MANAGEMENT SERVICES, INC.

BD
CRD#: 10164
SARASOTA, FL
Past

March 17, 1997 - August 31, 1998

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL

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: 3/27/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/1997
General Securities Representative Examination

Current Firm

IC
INVESTORS CAPITAL CORP.
INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054

BD
Terminated by SEC on 01/17/2017
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
6 Kimball Lane, Lynnfield, MA 01940
Mailing Address
Phone number
Established
Massachusetts since 07/06/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)
TOWER SQUARE INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event22
Arbitration11

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.

Company Information

INVESTORS CAPITAL CORP.

CRD#: 30613

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