Vincent A. Forte

SHAWNEE INVESTMENTS & PLANNING

Cincinnati, OH

Some features on this profile are disabled

CRD#: 6628996

Professional summary

Vincent Anthony Forte, who also goes by VIncent Forte, is a registered financial advisor currently at SHAWNEE INVESTMENTS & PLANNING located in Cincinnati, Ohio.

Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Vincent has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vincent Forte

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.

Mr. Forte maintains an insurance license for client advice and education but does not receive commissions or renewal payments for such services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Anthony Forte'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

May 15, 2017 - Present

SHAWNEE INVESTMENTS & PLANNING

RIA

CRD#: 288166

Cincinnati, OH

Past

August 4, 2016 - March 6, 2017

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Cincinnati, OH

Past

April 29, 2016 - March 6, 2017

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Cincinnati, OH

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(5/15/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/19/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/29/2016

General Securities Representative Examination

Current Firm

SHAWNEE INVESTMENTS & PLANNING

SHAWNEE INVESTMENTS & PLANNING | SHAWNEE INVESTMENTS & PLANNING LLC

CRD#: 288166 / SEC#:

Ohio

Registered Investment Advisory firm - (5/15/2017 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Cincinnati, OH

Mailing Address

Phone number

(513) 910-0065

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 1,081,295

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Vincent A. Forte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Anthony Forte's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHAWNEE INVESTMENTS & PLANNING

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/19/2016

SIE

Date: 3/6/2017

Series 7

Date: 4/29/2016

Current Firm

SHAWNEE INVESTMENTS & PLANNING

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHAWNEE INVESTMENTS & PLANNING

TRUST BUT VERIFY

Similar Advisors