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Vincent Divito

NASDAQ EXECUTION SERVICES
Philadelphia, PA 19104
Some features on this profile are disabled
CRD#: 4006865
VD

Professional summary

Vincent Divito is a registered financial professional currently at NASDAQ EXECUTION SERVICES, LLC located in Philadelphia, Pennsylvania.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 2012. Vincent has worked at 3 firms and has passed the SIE and Series 99 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 Divito'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

October 16, 2012 - Present

NASDAQ EXECUTION SERVICES, LLC

Office #1: 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104Office #2: 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
BD
CRD#: 7270
Philadelphia, PA
Past

October 25, 2013 - June 25, 2021

EXECUTION ACCESS, LLC

BD
CRD#: 148423
Philadelphia, PA
Past

October 16, 2012 - April 8, 2014

NASDAQ CAPITAL MARKETS ADVISORY LLC

BD
CRD#: 104295
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/15/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

NE
NASDAQ EXECUTION SERVICES, LLC
BEAR STEARNS COMPUTER NETWORK INC. | THE BRUT ECN, L.L.C. | STRIKE TECHNOLOGIES LLC | NASDAQ EXECUTION SERVICES, LLC | COMMON BACK OFFICE, INC. | BSC SECURITIES CORP. | BRUT, LLC

CRD#: 7270 / SEC#: , 8-37329

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

Main Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Mailing Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Phone number
(215) 496-5000
Established
Delaware since 11/25/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THE NASDAQ STOCK MARKET, LLCSOLE MEMBER
CRANE, LINDAPRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER4374198
HINTON-MILLER, BRENDACHIEF COMPLIANCE OFFICER3208241
LAWN, DAVID EDWARDCHIEF EXECUTIVE OFFICER3155025
MARIGLIANO, DONALD EDWARD JRREGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL1843181

Disclosures

Regulatory Event10

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

NASDAQ EXECUTION SERVICES, LLC

CRD#: 7270Philadelphia, PA 19104

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