Dominic Vella
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.
Dominic Vella, who also goes by Dominic Vella Jr, was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 2004. Dominic had worked at 3 firms and has passed the Series 63 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 11, 2008 - February 16, 2012
AUTO CLUB FUNDS, INC.
January 6, 2006 - June 30, 2008
STATE FARM VP MANAGEMENT CORP.
November 22, 2004 - December 2, 2005
TCF INVESTMENTS, 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
AUTO CLUB FUNDS, INC.
CRD#: 10580 / SEC#: , 8-27617
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
