Vincent V. Cesta
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 Victor Cesta was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1970. Vincent had worked at 14 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2008 - July 27, 2010
GBS FINANCIAL CORP.
June 6, 1994 - November 25, 2008
FIRST MONTAUK SECURITIES CORP.
May 11, 1993 - May 27, 1994
YAEGER SECURITIES, INC.
May 1, 1987 - April 13, 1993
TOLUCA PACIFIC SECURITIES CORP.
January 19, 1984 - April 20, 1987
LOS ANGELES SECURITIES
June 16, 1982 - January 9, 1984
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
November 12, 1981 - June 17, 1982
SECURITIES WEST, INC.
June 23, 1978 - August 29, 1984
INVESTORS FINANCIAL SERVICES, INCORPORATED
November 10, 1976 - June 17, 1981
INVESTORS FINANCIAL SERVICES, INC.
June 11, 1974 - December 8, 1976
SAMUEL B. FRANKLIN AND COMPANY, INC.
August 10, 1972 - July 12, 1974
FAIRMAN & CO.
April 1, 1971 - September 10, 1972
CALIFORNIA INVESTORS INCORPORATED
September 11, 1970 - April 27, 1971
HAYDEN STONE INC.
May 26, 1970 - November 18, 1971
UNION WESTERN SECURITIES CORPORATION
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 1
Date: 4/28/1969
Registered Representative ExaminationCurrent Firm
GBS FINANCIAL CORP.
CRD#: 16906 / SEC#: 801-60744, 8-34631
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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