Vance J. Szabo
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.
Vance Joseph Szabo, who also goes by Vance J Szabo, was a registered financial professional .
Vance is a previously registered financial professional and started their career in finance in 2010. Vance had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
June 4, 2019 - September 30, 2019
VALLEY NATIONAL ADVISERS INC
April 2, 2019 - September 30, 2019
VALLEY NATIONAL INVESTMENTS, INC.
September 14, 2016 - July 5, 2018
AMERITAS INVESTMENT COMPANY, LLC
March 31, 2015 - September 2, 2016
PARK AVENUE SECURITIES LLC
January 26, 2015 - March 31, 2015
GUARDIAN INVESTOR SERVICES LLC
June 14, 2011 - September 15, 2014
ADP BROKER-DEALER, INC.
March 16, 2010 - June 3, 2011
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
VALLEY NATIONAL ADVISERS INC
CRD#: 110788 / SEC#: 801-25126
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
VALLEY NATIONAL ADVISERS INC
CRD#: 110788 / SEC#: 801-25126
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,984 |
| AUM (Assets Under Management) | $ 1,131,857,422 |
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.
