VL
Vincent Lafata
NAVY FEDERAL INVESTMENT SERVICES
Goodyear, AZ 85395
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CRD#: 6642382
VL
Professional summary
Vincent Lafata, who also goes by VIncent L Lafata, Vincent Leo Lafata, is a registered financial advisor currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in Goodyear, Arizona.
Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Vincent has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vincent L Lafata | Vincent Leo Lafata
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.
Entity Name: Family First Life Investment related: No Address: Phoenix, AZ Nature of the other business: insurance products Position/Title/Relationship: In active Agent (Former Life Ins. Broker) Start Date: 10/01/2021 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: receive residual income from active policies Entity Name: Lyft Investment related: No Address: San Francisco / CA / 94107 Nature of the other business: Driving Passengers Position/Title/Relationship: Driver Start Date: 19-Jun-2018 Approximate # of hours a month: 30 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Driver Entity Name: Uber Investment related: No Address: San Francisco / CA / 94103 Nature of the other business: Driving Passengers Position/Title/Relationship: Driver Start Date: 16-Jun-2020 Approximate # of hours a month: 15 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Driver Biolife Biolife - Plasma Donor Start date: 05/2023 Approximate # of hours a month: 10 Approximate # of hours during securities trading hours: 0 Amazon - 1099 Contractor Amazon Flex Driver Start Date: 05/2032 Approximate # of hours a month: 5 Approximate # of hours during securities trading hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Vincent Lafata's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vincent Lafata'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®
NoneExperience
Current
June 13, 2023 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 15420 West Mcdowell Rd, Goodyear, AZ 85395RIA
BD
CRD#: 138459
Goodyear, AZ
Current
June 8, 2023 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 15420 West Mcdowell Rd, Goodyear, AZ 85395RIA
BD
CRD#: 138459
Goodyear, AZ
Past
October 2, 2020 - September 18, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Tempe, AZ
Past
June 8, 2020 - July 22, 2020
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
Phoenix, AZ
Past
April 2, 2020 - July 22, 2020
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
Phoenix, AZ
Past
March 31, 2020 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
February 25, 2019 - February 12, 2020
EDWARD JONES
RIA
CRD#: 250
MORGANTOWN, WV
Past
January 28, 2019 - February 12, 2020
EDWARD JONES
BD
CRD#: 250
MORGANTOWN, WV
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
Arizona(6/9/2023)
IAR
Arizona(6/13/2023)
RR
California(7/25/2023)
IAR
California(7/25/2023)
RR
Colorado(4/18/2024)
IAR
Colorado(4/18/2024)
RR
Nevada(2/4/2025)
IAR
Nevada(2/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/28/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1007 Electric Ave, Vienna, VA 22180
Mailing Address
1007 Electric Ave, Vienna, VA 22180
Phone number
(877) 221-8108
Established
Virginia since 09/06/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
176
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
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.
Company Information
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459Goodyear, AZ 85395TRUST BUT VERIFY
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