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VD

Vincent J. Dipaolo

FRANKLIN DISTRIBUTORS
Baltimore, MD 21231
Some features on this profile are disabled
CRD#: 5553947
VD

Professional summary

Vincent Joseph Dipaolo, CFP® is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Baltimore, Maryland.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 2009. Vincent has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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.
Name: DH Real Estate LLC Position: Owner Nature: Real Estate Investment Related: Yes Hours: 2-4 Securities Trading Hours: 0 Start Date: 4/21/2021 Address: Home Address Description: Buying a distressed property occasionally and flipping it for profit. Limited day to day responsibility and mostly just offering capital as silent partner.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent Joseph Dipaolo's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Current

December 2, 2022 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 1201 Wills Street, Baltimore, MD 21231
BD
CRD#: 109064
Baltimore, MD
Past

December 22, 2020 - March 21, 2023

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
CHICAGO, IL
Past

December 3, 2020 - November 18, 2022

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

May 25, 2019 - November 18, 2020

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

May 22, 2014 - May 25, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
CENTENNIAL, CO
Past

October 1, 2012 - March 28, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CENTENNIAL, CO
Past

September 11, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CENTENNIAL, CO
Past

May 1, 2012 - July 30, 2012

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
ENGLEWOOD, CO
Past

November 1, 2010 - May 2, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CENTENNIAL, CO
Past

July 28, 2009 - August 27, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
GREENWOOD VLG, CO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/3/2025)
RR
California
(1/2/2024)
RR
Colorado
(12/2/2022)
RR
Connecticut
(1/2/2024)
RR
Florida
(1/3/2024)
RR
Idaho
(1/10/2025)
RR
Massachusetts
(1/3/2024)
RR
Montana
(1/2/2025)
RR
New Mexico
(1/2/2025)
RR
New York
(1/2/2024)
RR
Texas
(12/2/2022)
RR
Utah
(1/6/2025)
RR
Wyoming
(1/6/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/21/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/21/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/27/2009
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064Baltimore, MD 21231

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