Vincent F. Mutolo
Professional summary
Vincent Frank Mutolo, who also goes by VInce Mutolo, Vincent Mutolo, is a registered financial professional currently at DORSET PEAK SECURITIES LLC located in New York, New York.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 1996. Vincent has worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vincent Frank Mutolo's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 15, 2021 - Present
DORSET PEAK SECURITIES LLC
Office #1: 416 West 13th Street, New York, NY 10014Office #2: 350 Springfield Ave Suite 301, Summit, NJ 07901February 13, 2012 - October 27, 2021
TENEO SECURITIES LLC
July 13, 2006 - December 8, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2004 - July 10, 2006
JEFFERIES LLC
September 24, 2002 - May 19, 2004
PNC CAPITAL MARKETS LLC
May 9, 2000 - January 23, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 1996 - May 7, 1998
NATCITY INVESTMENTS, 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
(10/7/2021)
(9/16/2021)
(4/7/2023)
(9/30/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
DORSET PEAK SECURITIES LLC
CRD#: 312209 / SEC#: , 8-70684
Contact information
FINRA licenses (12 States and Territories)
Documents
Red Flags
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