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Vincent F. Napolitano

LIVERMORE TRADING GROUP
New York, NY 10005
Some features on this profile are disabled
CRD#: 3109342
VN

Professional summary

Vincent Frank Napolitano is a registered financial professional currently at LIVERMORE TRADING GROUP, INC. located in New York, New York.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 1998. Vincent has worked at 11 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 25, Series 14 and Series 24 exams.

top-8-questions

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) - BD

Click below to view Vincent Frank Napolitano's 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

August 26, 2008 - Present

LIVERMORE TRADING GROUP, INC.

Office #1: 11 Wall Street, New York, NY 10005
BD
CRD#: 32968
New York, NY
Past

March 5, 2008 - August 28, 2008

CANNIZZARO, THOMAS

BD
CRD#: 140347
NEW ROCHELLE, NY
Past

August 20, 2003 - October 26, 2004

KALIN ASSOCIATES, INC.

BD
CRD#: 16941
KINGS POINT, NY
Past

October 25, 2002 - May 28, 2008

TRINITY TRADING CORP.

BD
CRD#: 122553
NEW YORK, NY
Past

July 15, 2002 - October 28, 2002

SEQUAMS TRADING CORP.

BD
CRD#: 103993
NEW YORK, NY
Past

December 14, 2000 - July 15, 2002

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

October 1, 2000 - April 4, 2001

GALWAY SECURITIES CORPORATION

BD
CRD#: 33211
NEW YORK, NY
Past

September 25, 2000 - July 18, 2002

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

August 30, 1999 - November 28, 1999

TIJA MANAGEMENT, INC.

BD
CRD#: 11069
NEW YORK, NY
Past

June 22, 1999 - September 28, 1999

BUCKMAN, BUCKMAN & REID, INC.

BD
CRD#: 23407
LITTLE SILVER, NJ
Past

December 21, 1998 - January 22, 1999

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
POUGHKEEPSIE, NY

State Registrations and Notice Filings

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

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
Connecticut
(2/28/2011)
RR
Florida
(3/7/2017)
RR
New York
(8/26/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 1/2/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/16/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/1/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 10/21/1999
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 14
Date: 2/28/2011
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

LT
LIVERMORE TRADING GROUP, INC.
LIVERMORE TRADING GROUP, INC. | MALBIN SECURITIES CORP

CRD#: 32968 / SEC#: , 8-45248

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

Main Address
11 Wall Street, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 742-0460
Established
New York since 10/09/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FINNERTY, ROBERT JAMESNON-VOTING SHAREHOLDER4324883
MCKENNA, PETERNON-VOTING SHAREHOLDER5200388
FITZGERALD, HEATHER MARIEFINOP/PFO/POO4427665
NAPOLITANO, VINCENT FRANKPRES/CEO/SECRETARY/TREASURER/CCO/COO/DIRECTOR/VOTING SHAREHOLDER3109342

Disclosures

Regulatory Event2

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

LIVERMORE TRADING GROUP, INC.

CRD#: 32968New York, NY 10005

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