Vincent D. Bentivegna
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.
Vincent Dominic Bentivegna was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1998. Vincent had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2013 - May 10, 2013
WOODSTOCK FINANCIAL GROUP, INC.
October 24, 2011 - February 10, 2012
TRIDENT PARTNERS LTD.
June 10, 2011 - October 21, 2011
GLOBAL ARENA CAPITAL CORP
July 20, 2010 - September 23, 2010
BLACKBOOK CAPITAL, LLC
November 7, 2009 - March 17, 2010
BROOKSTONE SECURITIES, INC.
September 10, 2009 - November 13, 2009
BROOKVILLE CAPITAL PARTNERS
January 13, 2009 - September 15, 2009
EKN FINANCIAL SERVICES INC.
April 4, 2008 - January 9, 2009
ROCKWELL GLOBAL CAPITAL LLC
March 7, 2007 - March 31, 2008
WESTROCK ADVISORS, INC.
February 24, 2006 - March 9, 2007
GUNNALLEN FINANCIAL, INC
May 18, 2005 - February 27, 2006
GRANITE ASSOCIATES, INC
February 3, 2005 - April 27, 2005
AURA FINANCIAL SERVICES, INC.
June 21, 2002 - February 23, 2005
EKN FINANCIAL SERVICES INC.
June 8, 2000 - July 11, 2002
LADENBURG CAPITAL MANAGEMENT INC.
October 13, 1998 - June 29, 2000
INSTITUTIONAL EQUITY CORPORATION
September 15, 1998 - November 2, 1998
WIN CAPITAL CORP.
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
Current Firm
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
Red Flags
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