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Salvatore R. Faia

VIGILANT DISTRIBUTORS
Chadds Ford, PA 19317
Some features on this profile are disabled
CRD#: 4372361
SF

Professional summary

Salvatore Rocco Faia is a registered financial professional currently at VIGILANT DISTRIBUTORS, LLC located in Chadds Ford, Pennsylvania.

Salvatore is registered as a RR (Registered Representative) and started their career in finance in 2001. Salvatore has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 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 Salvatore Rocco Faia'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

May 15, 2017 - Present

VIGILANT DISTRIBUTORS, LLC

Office #1: 223 Wilmington West Chester Pike Suite 216, Chadds Ford, PA 19317Office #2: Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
BD
CRD#: 285573
Chadds Ford, PA
Past

February 20, 2015 - March 9, 2017

CHADDS FORD INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 166965
CHADDS FORD, PA
Past

August 9, 2010 - May 22, 2017

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

May 21, 2010 - July 21, 2010

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

April 5, 2006 - May 7, 2009

FORESIDE PLAZA DISTRIBUTORS, LLC

BD
CRD#: 103739
PORTLAND, ME
Past

April 11, 2005 - March 17, 2006

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

February 3, 2004 - September 8, 2004

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
PORTLAND, ME
Past

February 3, 2004 - September 8, 2004

BLACKROCK DISTRIBUTORS, INC

BD
CRD#: 39636
KING OF PRUSSIA, PA
Past

February 3, 2004 - September 8, 2004

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
PORTLAND, ME
Past

January 22, 2003 - September 8, 2004

NORTHERN FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45943
PORTLAND, ME
Past

April 5, 2002 - September 8, 2004

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

May 14, 2001 - February 11, 2002

VILLANOVA SECURITIES LLC

BD
CRD#: 107333
CONSHOHOCKEN, PA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Indiana
(11/10/2020)
RR
Pennsylvania
(7/24/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/29/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VD
VIGILANT DISTRIBUTORS, LLC
HERALD INVESTMENT MARKETING, LLC | VIGILANT DISTRIBUTORS, LLC

CRD#: 285573 / SEC#: , 8-69854

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

Main Address
Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
Mailing Address
Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
Phone number
(610) 558-1750
Established
Pennsylvania since 06/13/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CHADDS FORD INVESTMENT MANAGEMENT, LLCOWNER
CHISM, PATRICK ANDREWCEO AND CCO2875421
FAIA, SALVATORE ROCCO IIPRINCIPAL OPERATIONS OFFICER6813402
SCARPATI, GERARDCFO AND PRINCIPAL FINANCIAL OFFICER2313132

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

VIGILANT DISTRIBUTORS, LLC

CRD#: 285573Chadds Ford, PA 19317

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