Vincent M. Tassone

CAUSEWAY SECURITIES LLC

NEW YORK, NY 10022

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CRD#: 6380567

Professional summary

Vincent M Tassone, who also goes by VIncent Michael Tassone, is a registered financial professional currently at CAUSEWAY SECURITIES LLC located in New York, New York.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 2015. Vincent has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Vincent Michael Tassone

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.

VINNI'S PIZZA WEST DEPTFORD, LLC IS A FAMILY OWNED AND OPERATED FAST SERVICE PIZZERIA ITALIAN SPECIALTY RESTAURANT. UPON THE DEATH OF MY FATHER, NATALE TASSONE, IN DECEMBER OF 2023, I ASSUMED THE ROLE OF ADVISING AND ASSISTING MY MOTHER, CATHARINE TASSONE, AS SHE PLANS TO CONTINUE OPERATING THE SMALL BUSINESS THAT SHE RAN WITH MY FATHER SINCE STARTING THE BUSINESS IN JULY OF 1996. THE STORE IS LOCATED AT 530 CROWN POINT ROAD, STE 9, THOROFARE, NEW JERSEY 08086. I'VE PROVIDED STRATEGIC GUIDANCE AND PERFORM ADMINISTRATIVE FUNCTIONS ASSOCIATED WITH RUNNING THE BUSINESS INCLUDING BUT NOT LIMITED TO COMMUNICATING WITH STORE MANAGERS, VENDORS, AND PROFESSIONAL SERVICE PROVIDERS (BANKS/CPAS/ETC.). THESE ACTIVITIES COMMENCED IMMEDIATELY UPON THE DEATH OF MY FATHER ON DECEMBER 10TH, 2023. I SPEND APPROXIMATELY 5 HOURS PER MONTH PERFORMING THESE DUTIES.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent M Tassone's 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®

None

Experience

Current

January 9, 2025 - Present

CAUSEWAY SECURITIES LLC

Office #1: 845 3rd Ave, Floor 6, New York, NY 10022

CRD#: 315829

NEW YORK, NY

Past

October 16, 2024 - December 20, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

MOUNT LAUREL, NJ

Past

October 16, 2024 - December 20, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MOUNT LAUREL, NJ

Past

June 17, 2024 - July 16, 2024

ICAPITAL MARKETS LLC

CRD#: 118219

NEW YORK, NY

Past

May 4, 2023 - November 27, 2023

REGIONAL INVESTMENT ADVISORS, LLC

RIA

CRD#: 325862

PHILADELPHIA, PA

Past

July 14, 2015 - March 10, 2023

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

PHILADELPHIA, PA

Past

July 1, 2015 - March 10, 2023

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

Austin, TX

State Registrations and Notice Filings

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

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

Delaware
(1/9/2025)

District of Columbia
(1/9/2025)

Maryland
(1/9/2025)

New Jersey
(1/9/2025)

New York
(1/9/2025)

Ohio
(1/9/2025)

Pennsylvania
(1/9/2025)

Virginia
(1/9/2025)

West Virginia
(1/9/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/14/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAUSEWAY SECURITIES LLC

CRD#: 315829 / SEC#: , 8-70789

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

845 3rd Ave, Floor 6, New York, NY 10022

Mailing Address

845 3rd Ave, Floor 6, New York, NY 10022

Phone number

(224) 370-3769

Established

Florida since 06/25/2021

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAUSEWAY SECURITIES LIMITED	MEMBER
BRUDIE, DONALD THOMAS JR	CEO	2443236
GRAY, BENJAMIN NMN	CCO	1946982
ROTHENBERG, SHARI P	CFO	6590875

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.

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Firm Stability Insights

Vincent M. Tassone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent M Tassone's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

ICAPITAL MARKETS LLC

REGIONAL INVESTMENT ADVISORS, LLC

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/14/2015

SIE

Date: 10/1/2018

Series 7

Date: 7/1/2015

FINRA

Current Firm

CAUSEWAY SECURITIES LLC

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAUSEWAY SECURITIES LLC

TRUST BUT VERIFY

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