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VL

Vincent F. Laverty

CLEARBRIDGE INVESTMENTS
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 2874460
VL

Professional summary

Vincent Franklin Laverty, who also goes by VInny Laverty, is a registered financial advisor currently at CLEARBRIDGE INVESTMENTS, LLC located in New York, New York and FRANKLIN DISTRIBUTORS, LLC located in San Mateo, California.

Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Vincent has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Vinny Laverty

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) - RIA

Click below to view Vincent Franklin Laverty's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 21, 2005 - Present

CLEARBRIDGE INVESTMENTS, LLC

Office #1: One Madison Avenue 18th Floor, New York, NY 10010
RIA
CRD#: 137028
NEW YORK, NY
Current

December 1, 2005 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: One Franklin Parkway, San Mateo, CA 94403-1906
BD
CRD#: 109064
San Mateo, CA
Past

March 29, 2005 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 23, 2005 - December 19, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
STAMFORD, CT
Past

July 8, 2004 - December 21, 2005

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
DENVER, CO
Past

March 13, 2003 - August 5, 2003

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

August 19, 2002 - January 13, 2003

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CLEARBRIDGE INVESTMENTS, LLC
CAM NORTH AMERICA, LLC | GLOBAL CURRENTS INVESTMENT MANAGEMENT | DAVIS SKAGGS INVESTMENT MANAGEMENT | CLEARBRIDGE INVESTMENTS, LLC | CLEARBRIDGE ADVISORS, LLC | CLEARBRIDGE ADVISORS | CITIGROUP ASSET MANAGEMENT

CRD#: 137028 / SEC#: 801-64710

RIA
Registered Investment Advisory firm - (9/30/2005 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/2/2015)
RR
Colorado
(10/27/2011)
IAR
Colorado
(7/24/2012)
RR
Connecticut
(1/5/2022)
RR
Florida
(1/2/2015)
RR
Massachusetts
(1/17/2024)
RR
New York
(1/2/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 6/19/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/15/2002
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CLEARBRIDGE INVESTMENTS, LLC
CAM NORTH AMERICA, LLC | GLOBAL CURRENTS INVESTMENT MANAGEMENT | DAVIS SKAGGS INVESTMENT MANAGEMENT | CLEARBRIDGE INVESTMENTS, LLC | CLEARBRIDGE ADVISORS, LLC | CLEARBRIDGE ADVISORS | CITIGROUP ASSET MANAGEMENT

CRD#: 137028 / SEC#: 801-64710

RIA
Registered Investment Advisory firm - (9/30/2005 Approved)
PREMIUM
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Contact information

Main Address
One Madison Avenue 18th Floor, New York, NY 10010
Mailing Address
Phone number
(212) 805-2000
Established
Firm type
Fiscal year end
# of Employees
210

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CLEARBRIDGE/FTPPG RETAIL CLIENT BROCHURE (12/18/2025)
CLEARBRIDGE INVESTMENTS ADVISORY BROCHURE (12/18/2025)

Regulatory assets under management

Total Number of Accounts12,530
AUM (Assets Under Management)$ 184,809,812,930

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/27/2025
Cover Page
Report
01/24/2025
Cover Page
Report
11/20/2023
Cover Page
Report
01/27/2023
Cover Page
Report

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

CLEARBRIDGE INVESTMENTS, LLC

CRD#: 137028New York, NY 10010

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