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Vincent J. Stafford

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CRD#: 501262
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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 Joseph Stafford was a registered financial professional .

Vincent is a previously registered financial professional and started their career in finance in 1975. Vincent had worked at 2 firms and has passed the Series 63, Series 7, Series 24 and Series 54FN exams.

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)

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

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

Past

January 18, 2001 - January 6, 2006

COMMERCE CAPITAL INVESTMENTS, INC.

BD
CRD#: 104163
PHILADELPHIA, PA
Past

December 5, 1975 - January 6, 2006

TD WEALTH MANAGEMENT SERVICES INC.

BD
CRD#: 6940
PHILADELPHIA, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/1998
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 54FN
Date: 11/27/1978
Municipal Securities Financial and Operations Principal Examination

Current Firm

CC
COMMERCE CAPITAL INVESTMENTS, INC.
COMMERCE CAPITAL INVESTMENTS, INC.

CRD#: 104163 / SEC#: , 8-52630

BD
Terminated by SEC on 02/21/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 04/28/2000
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TD BANK N.A.OWNER
GERTIE, JAMES LEODIRECTOR5501569
LUTZKER, MARIA FRANCESCHIEF COMPLIANCE OFFICER3168702
MALLOY, TERRENCE JAMESDIRECTOR3168701
RUBINSOHN, MARC ALANFINOP/ACCOUNTING MANAGER4861057
VERNON, RUSSELL OWENPRESIDENT1627442

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

COMMERCE CAPITAL INVESTMENTS, INC.

CRD#: 104163

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