Travis E. Vincent
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.
Travis Elliot Vincent was a registered financial professional .
Travis is a previously registered financial professional and started their career in finance in 2000. Travis had worked at 4 firms and has passed the Series 63, Series 82TO, Series 22TO, Series 62, Series 42, Series 99TO, Series 6TO, Series 72, SIE, Series 7, Series 3 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2016 - July 19, 2024
MARCH CAPITAL CORP.
June 18, 2015 - November 9, 2017
UHLMANN PRICE SECURITIES, LLC
December 3, 2013 - June 12, 2015
ALPS DISTRIBUTORS, INC.
December 13, 2000 - January 22, 2002
TAFFERER TRADING, 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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 55
Date: 1/25/2001
Limited Representative-Equity Trader ExamCurrent Firm
MARCH CAPITAL CORP.
CRD#: 24142 / SEC#: , 8-41173
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
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.
