Vincent A. Esposito
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 Allen Esposito, who also goes by VIncent A Esposito, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1996. Vincent had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2003 - October 1, 2004
PARKER FINANCIAL CORP.
August 26, 2003 - April 12, 2012
MEETING STREET BROKERAGE, LLC
January 10, 2003 - February 21, 2003
MILLENNIUM BROKERAGE, L.L.C.
November 4, 2002 - January 9, 2003
A.B. WATLEY, INC.
June 24, 2002 - October 31, 2002
GREAT EASTERN SECURITIES, INC.
September 27, 2001 - April 23, 2002
RUSHMORE CAPITAL, INC.
February 22, 2001 - April 22, 2002
DOMESTIC SECURITIES, INC.
May 14, 1998 - October 8, 2001
ALL-TECH DIRECT, INC.
June 17, 1996 - December 23, 1997
MONROE PARKER SECURITIES, INC.
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 55
Date: 12/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
PARKER FINANCIAL CORP.
CRD#: 42140 / SEC#: , 8-49713
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILLENIUM CAPITAL TRADING LLC | SHAREHOLDER | |
| SUNSPOT HOLDING CORP. | SHAREHOLDER | |
| RIVERSO, RAFFAEL GIGLIO | SHAREHOLDER | 2022485 |
| ROMEU, ALFONSO L | COMPLIANCE OFFICER, CEO , AML OFFICER |
Disclosures
| Regulatory Event | 3 |
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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