Vincent R. Drohan
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.
Vincent Reynolds Drohan, who also goes by VIncent Reynolds Drihan, Vincent R Drohan, Vincent Drohan, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1973. Vincent had worked at 19 firms and has passed the Series 63, Series 1, Series 14, Series 27, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2002 - June 18, 2002
MIDSOUTH CAPITAL, INC.
September 13, 2001 - November 8, 2005
MARQUIS FINANCIAL SERVICES, INC.
December 4, 2000 - December 17, 2003
NANES, DELORME CAPITAL MANAGEMENT LLC
March 29, 2000 - May 1, 2000
PANTA MANAGEMENT, INCORPORATED
January 13, 2000 - August 14, 2000
FIRST SECURITY INVESTMENTS, INC.
October 8, 1997 - March 13, 2000
GRAYSON FINANCIAL LLC
August 20, 1997 - December 6, 1999
BANIF SECURITIES INC
June 17, 1996 - December 15, 2000
INSTITUTIONAL EQUITY CORPORATION
December 8, 1995 - May 30, 1997
GRAYSON FINANCIAL LLC
March 30, 1994 - July 31, 1996
FIRST CAMBRIDGE SECURITIES CORPORATION
April 20, 1992 - March 14, 1994
THE STAMFORD COMPANY, INC.
October 9, 1991 - April 20, 1992
JOSEPHTHAL & CO., INC.
July 30, 1990 - October 18, 1991
JJC SECURITIES CO., INC.
January 2, 1990 - August 7, 1990
SECURITIES SETTLEMENT CORPORATION
March 3, 1989 - October 9, 1989
JJC SECURITIES CO., INC.
March 23, 1987 - December 3, 1988
EVANS & CO., INC.
November 14, 1986 - February 18, 1987
MURIEL SIEBERT & CO., LLC
June 6, 1983 - November 19, 1985
JESUP & LAMONT SECURITIES CO., INC.
December 12, 1977 - February 15, 1989
OSCAR GRUSS & SON INCORPORATED
August 30, 1974 - September 20, 1977
JESUP & LAMONT SECURITIES CO., INC.
July 8, 1974 - August 30, 1974
JESUP & LAMONT INCORPORATED
March 15, 1973 - August 31, 1974
KIMELMAN & BAIRD, LLC
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
Series 1
Date: 3/8/1973
Registered Representative ExaminationSeries 12
Date: 3/1/1977
NYSE Branch Manager ExaminationCurrent Firm
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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