Victor J. St Vincent
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.
Victor John St Vincent, who also goes by VIc St Vincent, was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 2013. Victor had worked at 5 firms and has passed the Series 66, 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
March 23, 2021 - September 8, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 26, 2021 - September 8, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 24, 2015 - March 5, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 23, 2015 - March 5, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 13, 2014 - June 19, 2014
WADDELL & REED
March 13, 2014 - June 19, 2014
WADDELL & REED
January 29, 2014 - February 24, 2014
MML INVESTORS SERVICES, LLC
January 23, 2014 - February 24, 2014
MML INVESTORS SERVICES, LLC
June 25, 2013 - August 30, 2013
EDWARD JONES
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
