Vincent J. Giovinazzo
Professional summary
Vincent James Giovinazzo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vincent is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Vincent had worked at 11 firms, which includes CELADON FINANCIAL GROUP LLC, TP ICAP GLOBAL MARKETS AMERICAS LLC, SILVER LEAF PARTNERS LLC, LIQUIDPOINT LLC, INTERACTIVE BROKERS CORP., PERSHING LLC, BNY CLEARING SERVICES LLC, COWEN EXECUTION SERVICES LLC, BOSTON PARTNERS SECURITIES L.L.C., UST SECURITIES CORP., MIDAS SECURITIES GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2012 - November 15, 2012
CELADON FINANCIAL GROUP LLC
May 4, 2012 - June 6, 2012
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 11, 2008 - May 1, 2012
SILVER LEAF PARTNERS, LLC
September 7, 2007 - December 9, 2008
LIQUIDPOINT, LLC
October 28, 2004 - August 7, 2007
INTERACTIVE BROKERS CORP.
June 2, 2003 - November 12, 2004
PERSHING LLC
October 8, 2002 - May 29, 2003
BNY CLEARING SERVICES LLC
April 26, 2002 - July 29, 2002
BNY CLEARING SERVICES LLC
April 10, 2002 - May 29, 2003
COWEN EXECUTION SERVICES LLC
March 9, 2000 - April 9, 2002
BOSTON PARTNERS SECURITIES, L.L.C.
September 15, 1998 - November 15, 1999
UST SECURITIES CORP.
August 1, 1997 - July 29, 1998
MIDAS 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
Exams
Series 55
Date: 4/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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