Victor J. Rotonda
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.
Victor Joseph Rotonda was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 2001. Victor had worked at 4 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2014 - December 31, 2016
THE INVESTMENT CENTER, INC.
December 13, 2005 - July 14, 2014
SIGNATOR INVESTORS, INC.
March 23, 2004 - November 22, 2005
NEW ENGLAND SECURITIES
January 9, 2002 - February 26, 2004
PMG SECURITIES CORPORATION
March 23, 2001 - December 31, 2001
THE INVESTMENT CENTER, INC.
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
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
