Vincent R. Iacono
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 Ralph Iacono, who also goes by VIncent R Iacono, Vincent Ralph Iacono Jr., Vinnie Iacono, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 2000. Vincent had worked at 6 firms and has passed the Series 66, SIE 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
May 20, 2024 - July 21, 2025
ASCENSUS BROKER DEALER SERVICES, LLC
February 11, 2020 - March 21, 2024
TRANSAMERICA CAPITAL, LLC
December 6, 2010 - May 27, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
February 13, 2009 - November 22, 2010
GUARDIAN INVESTOR SERVICES LLC
February 14, 2001 - December 11, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
April 5, 2000 - December 14, 2000
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.
Visual representation of state registrations
Exams
Current Firm
ASCENSUS BROKER DEALER SERVICES, LLC
CRD#: 36478 / SEC#: , 8-47312
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASCENSUS, LLC | 100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC | |
| DUNN, MICHAEL SEAN | SENIOR VICE PRESIDENT | 3045371 |
| FOLMER, MICHAEL ROBERT | TREASURER AND VICE PRESIDENT, TAX AND FINANCE | 5655451 |
| GEARIN, JAMES M | PRESIDENT | 1405150 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| KAPLAN, ROBERT BARRY | SECRETARY | 1286735 |
| KAPLAN, ROBERT BARRY | CHIEF COMPLIANCE OFFICER | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
Red Flags
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