Vincent Fish
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 Fish was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1998. Vincent had worked at 2 firms and has passed the Series 63, 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
June 30, 2001 - September 25, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
May 29, 1998 - June 30, 2001
ICAPITAL MARKETS LLC
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
DATEK ONLINE FINANCIAL SERVICES LLC
CRD#: 36807 / SEC#: , 8-47459
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DATEK ONLINE HOLDINGS CORP. | PARENT CORP. | |
| DUHOVIC, JERRY VICTOR | SVP, CCO | 2123754 |
| ENGEL, BRYCE BRADLEY | VP OPERATIONS | 2748956 |
| GERBER, WILLIAM | TREASURER | 1769810 |
| HANLEY, CATHERINE ANN | CROP | 229846 |
| HEAD, MICHAEL JAMES | SVP, SECRETARY | 4022730 |
| LANGWITH, JOHN EDMUND III | FINOP, CFO | 2709446 |
| MACDONALD, JOHN RANALD | MANAGER | 2540475 |
| MOGLIA, JOSEPH HUGH | MANAGER | 1302369 |
| RICKETTS, JOHN PETER | MANAGER, PRESIDENT | 2446207 |
| SMITH, GREGORY JAY | SROP | 1657211 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
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.
