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Vince A. Tolve

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CRD#: 2874360
VT

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.

Vince Anthony Tolve was a registered financial professional .

Vince is a previously registered financial professional and started their career in finance in 1997. Vince had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 2, 2013 - March 10, 2016

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
NEW YORK, NY
Past

June 6, 2003 - December 31, 2013

SUNGARD INSTITUTIONAL BROKERAGE INC.

BD
CRD#: 8509
NEW YORK, NY
Past

July 20, 2001 - June 6, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

February 17, 1999 - August 24, 1999

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 29, 1998 - October 6, 1998

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

June 18, 1997 - July 20, 1998

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/4/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/27/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/10/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/26/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/24/2006
General Securities Principal Examination

Current Firm

FB
FIS BROKERAGE & SECURITIES SERVICES LLC
ANDOVER CAPITAL PARTNERS LLC | SUNGARD BROKERAGE & SECURITIES SERVICES, LLC | SUNGARD BROKERAGE & SECURITIES SERVICES LLC | PRESCIENT SECURITIES, LLC | FIS BROKERAGE & SECURITIES SERVICES LLC | ASSENT LLC

CRD#: 104162 / SEC#: , 8-52614

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Mailing Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Phone number
(630) 482-7300
Established
Delaware since 02/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIS CAPITAL MARKETS US LLCSOLE MEMBER
DAMIS, JENEL CARIMACHIEF COMPLIANCE OFFICER3261583
HECKER, STEVEN MICHAELFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER3088510
PETERS, DAVID TODDBOARD MEMBER, ASSISTANT SECRETARY7798286
VOGEL, MICHAEL FRANCISCHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY2814935

Disclosures

Regulatory Event23

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.

Company Information

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

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