Vincent E. Caine
Professional summary
Vincent Edward Caine, who also goes by VInce Caine, Vincent E Caine, is a registered financial advisor currently at SAINT FRANCIS CAPITAL located in Winder, Georgia.
Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Vincent has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Vincent Edward Caine's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2022 - Present
SAINT FRANCIS CAPITAL
August 15, 2011 - December 15, 2015
STEPHENS
August 8, 2011 - December 15, 2015
STEPHENS
June 1, 2009 - May 28, 2010
MORGAN STANLEY
June 1, 2009 - May 28, 2010
MORGAN STANLEY
March 31, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 29, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 6, 1997 - July 30, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/19/2022)
(9/23/2022)
Exams
Current Firm
SAINT FRANCIS CAPITAL
CRD#: 165376 / SEC#: 801-78095
Contact information
Regulatory assets under management
| Total Number of Accounts | 174 |
| AUM (Assets Under Management) | $ 37,553,684 |
Red Flags
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