Vincent J. Defilippo
Professional summary
Vincent James Defilippo, who also goes by VIncent J Defilippo, is a registered financial professional currently at VIENNA CAPITAL PARTNERS LLC located in New York, New York.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 1997. Vincent has worked at 17 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vincent James Defilippo's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 3, 2022 - Present
VIENNA CAPITAL PARTNERS LLC
Office #1: 40 Wall Street 17th Fl, New York, New York, 10005 17th Fl, New York, NY, 10005Office #2: 40 Wall Street 17th Fl, New York, NY 10005March 22, 2013 - November 12, 2018
DEFILIPPO CAPITALE PARTNERS LLC
August 15, 2011 - April 12, 2012
WINDSOR STREET CAPITAL, LP
May 4, 2011 - August 15, 2011
HUNTER WISE SECURITIES, LLC
April 1, 2008 - June 3, 2010
NEWPORT COAST SECURITIES, INC.
October 16, 2007 - April 1, 2008
JOHN THOMAS FINANCIAL
June 4, 2004 - July 13, 2004
NORTH AMERICAN CLEARING, INC.
April 21, 2004 - September 14, 2004
MILSTREAM SECURITIES LLC
October 15, 2003 - December 19, 2003
SUCCESS TRADE SECURITIES, INC.
February 27, 2003 - September 2, 2003
INDIANAPOLIS SECURITIES, INC.
July 12, 2002 - August 27, 2002
DPEC CAPITAL, INC.
March 5, 2001 - May 31, 2001
SOLID ISG CAPITAL MARKETS, LLC
November 30, 2000 - May 2, 2001
MONTROSE CAPITAL MANAGEMENT LTD.
July 13, 1999 - January 5, 2001
BISHOP, ROSEN & CO., INC.
March 22, 1999 - July 20, 1999
LABRANCHE FINANCIAL SERVICES, LLC
March 11, 1998 - July 22, 1998
MERIT CAPITAL ASSOCIATES, INC.
August 15, 1997 - March 12, 1998
LABRANCHE FINANCIAL SERVICES, LLC
June 27, 1997 - July 28, 1997
DALTON KENT SECURITIES GROUP, 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
(8/24/2023)
(12/12/2022)
(8/21/2023)
(1/2/2024)
(3/19/2024)
(8/21/2023)
(3/27/2024)
(3/26/2024)
(12/1/2022)
(8/18/2023)
(1/17/2024)
(11/17/2023)
(8/21/2023)
(10/30/2023)
(5/7/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 7/9/2022
Securities Trader ExamSeries 55
Date: 10/7/2008
Limited Representative-Equity Trader ExamFINRA
Current Firm
VIENNA CAPITAL PARTNERS LLC
CRD#: 311852 / SEC#: , 8-70631
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOMASA ANTONIA HOLDINGS LLC | DIRECT OWNER | |
| DEFILIPPO, VINCENT JAMES | CCO | 2792048 |
| KAPPOTIS, ERNEST DOMENIC | FINOP |
Red Flags
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