Vincenzo Ursino
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.
Vincenzo Ursino, who also goes by VInce Ursino, was a registered financial professional .
Vincenzo is a previously registered financial professional and started their career in finance in 2009. Vincenzo had worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2021 - December 13, 2024
PHX FINANCIAL, INC.
July 31, 2015 - October 4, 2021
WILMINGTON CAPITAL SECURITIES, LLC
July 30, 2015 - October 4, 2021
WILMINGTON CAPITAL SECURITIES, LLC
May 17, 2013 - July 28, 2015
FOREFRONT CAPITAL MARKETS LLC
July 8, 2009 - April 2, 2013
JOHN THOMAS FINANCIAL
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
