Vincent J. Petti

PLANNED FUTURES FINANCIAL GROUP

COLORADO SPRINGS, CO 80903

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CRD#: 733130

Professional summary

Vincent James Petti, who also goes by VInce Petti, Vincent J. Petti, is a registered financial advisor currently at PLANNED FUTURES FINANCIAL GROUP, LLC located in Colorado Springs, Colorado.

Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Vincent has worked at 6 firms and has passed the Series 63, Series 7, Series 6, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vince Petti | Vincent J. Petti

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent James Petti'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

July 8, 1997 - Present

PLANNED FUTURES FINANCIAL GROUP, LLC

Office #1: 1031 North Weber St., Colorado Springs, CO 80903

RIA

CRD#: 107029

COLORADO SPRINGS, CO

Past

March 29, 1994 - December 31, 1994

SECURITIES AMERICA, INC.

CRD#: 10205

Past

January 3, 1991 - March 29, 1994

FSC SECURITIES CORPORATION

CRD#: 7461

Past

November 19, 1989 - January 8, 1991

OSAIC WEALTH, INC.

CRD#: 23131

Past

February 7, 1983 - January 28, 1987

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

Past

June 8, 1981 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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

Colorado
(1/1/1999)

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

Series 63

Date: 11/1/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/3/1981

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 6/4/1981

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/22/1984

General Securities Principal Examination

Current Firm

PLANNED FUTURES FINANCIAL GROUP, LLC

PETTI VINCENT JAMES | PLANNED FUTURES FINANCIAL GROUP, LLC | PLANNED FUTURES FINANCIAL GROUP

CRD#: 107029 / SEC#: 801-40165

RIA

Registered Investment Advisory firm - (10/2/2009 Terminated)

Colorado

Registered Investment Advisory firm - (9/4/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

19550 Soaring Wing Drive, Colorado Springs, CO 80908

Mailing Address

Phone number

(800) 700-9737

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 26,264,848

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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Advisor Monitoring

Firm Stability Insights

Vincent J. Petti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent James Petti's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

FSC SECURITIES CORPORATION

OSAIC WEALTH, INC.

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

INTEGRATED RESOURCES EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 11/1/1983

Series 7

Date: 10/15/1983

Series 6

Date: 8/3/1981

Series 22

Date: 6/4/1981

Series 24

Date: 3/22/1984

Current Firm

PLANNED FUTURES FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PLANNED FUTURES FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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