Vincent J. Lia
Professional summary
Vincent John Lia 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 1996. Prior to being barred, Vincent had worked at 3 firms, which includes E-INVEST INC., A.S. GOLDMEN & CO. INC., MEYERS POLLOCK ROBBINS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 1998 - November 18, 1998
E-INVEST, INC.
October 16, 1996 - October 29, 1998
A.S. GOLDMEN & CO., INC.
September 24, 1996 - November 18, 1996
MEYERS POLLOCK ROBBINS, INC.
February 7, 1996 - August 29, 1996
A.S. GOLDMEN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
E-INVEST, INC.
CRD#: 18298 / SEC#: , 8-36270
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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