Vincent J. Ciaglia
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 James Ciaglia JR was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1981. Vincent had worked at 5 firms and has passed the Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2000 - February 3, 2004
ALPHA STRATEGIC MANAGEMENT, LTD.
August 26, 1992 - July 7, 1999
AVM, L.P.
July 8, 1991 - August 11, 1992
ROSENTHAL GLOBAL SECURITIES LLC
November 5, 1990 - April 8, 1991
THE CHICAGO CORPORATION
December 3, 1981 - October 5, 1990
LASALLE ST SECURITIES, L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 11/18/1981
Interest Rate Options ExaminationSeries 1
Date: 1/12/1968
Registered Representative ExaminationCurrent Firm
ALPHA STRATEGIC MANAGEMENT, LTD.
CRD#: 47313 / SEC#: , 8-51762
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSS, IVAN JON | CHIEF EXECUTIVE OFFICER/LIMITED PARTNER | 1837899 |
| CUA, GILFELIX ONG | LIMITED PARTNER | 2380833 |
| BUESINGER, RONALD ERNEST JR | LIMITED PARTNER | 1692850 |
| NOBUMOTO, YOSHIYUKI | LIMITED PARTNER | 2613967 |
| ALPHA STRATEGIC MANAGEMENT, LLC. | GENERAL PARTNER | |
| FASULO, ROBERT HENRY | GENERAL COUNSEL/CFO/CCO | 2174911 |
Red Flags
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