Vincent A. Amaro
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 Anthony Amaro, who also goes by VInce A. Amaro, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1998. Vincent had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2008 - February 10, 2016
SCOTTRADE, INC.
May 17, 2006 - September 12, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 21, 2005 - September 12, 2006
TD AMERITRADE, INC.
December 21, 2005 - September 12, 2006
TD AMERITRADE, INC.
September 14, 2005 - December 13, 2005
CHASE INVESTMENT SERVICES CORP.
September 14, 2005 - December 13, 2005
CHASE INVESTMENT SERVICES CORP.
February 17, 2005 - September 12, 2005
FIFTH THIRD SECURITIES, INC.
April 19, 2004 - September 12, 2005
FIFTH THIRD SECURITIES, INC.
November 14, 2002 - March 25, 2004
CHARLES SCHWAB & CO., INC.
December 13, 2000 - March 25, 2004
CHARLES SCHWAB & CO., INC.
April 12, 2000 - December 21, 2000
BANC ONE SECURITIES CORPORATION
October 26, 1998 - January 27, 1999
PRUCO SECURITIES, LLC.
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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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