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JV

Justin P Vose

NEW YORK, NY
·CRD# 4558668·24 years registered

Professional Summary

Justin P Vose, who also goes by Justin Patrick Vose, was a registered financial advisor. Justin was registered as a RR (Registered Representative) and started their career in finance in 2002. Justin had worked at 10 firms and has passed the Series 63, Series 66, Series 7, Series 24, Series 53 and Series 4 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Justin Patrick Vose

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

24 years registered in the securities industry

Current & Past Employments

Current

Unknown FirmCurrent·
20 W 34th St Suite 7700, New York, NY 10118
October 27, 2026 - Present

Past

PEACHTREE PC INVESTORS, LLCPast·CRD# 301004
BD
Ponte Verde, FL
March 26, 2024 - November 6, 2025
RFG ADVISORY, LLCPast·CRD# 158401
RIA
Vestavia Hills, AL
January 30, 2020 - October 7, 2020
PRIVATE CLIENT SERVICES, LLCPast·CRD# 120222
BD
Birmingham, AL
December 16, 2019 - October 7, 2020
BANCWEST INVESTMENT SERVICES, INC.Past·CRD# 29357
RIA
San Francisco, CA
July 31, 2014 - November 24, 2014
BANCWEST INVESTMENT SERVICES, INC.Past·CRD# 29357
BD
Omaha, NE
July 21, 2014 - November 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691
BD
Charlotte, NC
October 23, 2009 - June 6, 2012
BANC OF AMERICA INVESTMENT SERVICES, INC.Past·CRD# 16361
BD
Charlotte, NC
August 3, 2007 - October 23, 2009
E*TRADE SECURITIES LLCPast·CRD# 29106
BD
Charlotte, NC
May 7, 2007 - July 13, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.Past·CRD# 16361
BD
Charlotte, NC
April 19, 2005 - April 2, 2007
SCOTTRADE, INC.Past·CRD# 8206
BD
St. Louis, MO
July 1, 2003 - April 19, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.Past·CRD# 6694
BD
St. Petersburg, FL
July 25, 2002 - April 1, 2003

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Current Firm

No current employment

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2024About the Series 63 exam

Series 66 — Uniform Combined State Law Examination

Passed Jan 2020About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Jul 2002About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 2024About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed Aug 2011About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Jul 2006About the Series 4 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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