VG
Vincent P. Gianatasio
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CRD#: 826699
VG
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 Peter Gianatasio, who also goes by VIncent P Gianatasio, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1976. Vincent had worked at 5 firms and has passed the Series 63, Series 6TO, Series 22TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vincent P Gianatasio
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.
Business Ownership; Investors Strategy Corporation; President & CEO; sales of group medical/life/dental/DI & employees benefits consulting; Scarsdale, NY 10528; Investment Related; April 1982; 60+ hours per month; 40-59 during trading hours/ Strategic Associates Group Inc.; President & CEO; practice operations; Harrison, NY 10528; Not Investment Related; January 2020; 10 to 19 hours per month; 10-19 during trading hours/ American Advisory Group Inc.; President & CEO; pay expenses/salary; Harrison, NY 10528; Not Investment Related; January 1990; 10 to 19 hours per month; 1-9 during trading hours/ Gianco Realty LLC; Managing Partner; help make investment decisions regarding real estate venture with family-wife/daughters; Harrison, NY 10528; Investment Related; January 2010; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Strategic Associates Group Inc.; President/CEO; Harrison, NY 10528; Not Investment Related; January 2020; 10-19 hours per month; 1-9 during trading hours/ American Advisory Group Inc.; President/CEO; Harrison, NY 10528; Not Investment Related; January 1990; 10-19 hours per month; 1-9 during trading hours. Independent Insurance Brokering; United Healthcare; January 2000; Health, Group/ Mutual of Omaha; January 2000; Term Life, Disability Income, Group/ Oxford Healthcare; January 2000; Health, Group/ Anthem Blue Cross/Blue Shield; January 2021; Health, Group/ Unum; January 2000; Term Life, Disability Income, Group/ MetLife; January 2000; Term Life, Disability Income, Group/ Prudential; January 2000; Universal Life, Term Life, Long Term Care, Disability Income, Group/ Shelter Point Insurance; January 2010; Term Life, Disability Income, Group/ Aetna Life; January 2000; Term Life, Disability Income, Health, Group/ MVP; January 2016; Health, Group/ Cigna; January 2000; Term Life, Disability Income, Health, Group/ Petersen Lloyds of London; January 2014; Disability Income/ American General; June 1982; Universal Life, Term Life, Long Term Care/ ACE; January 2000; Disability Income, Group/ Delta Dental; May 2022; Group; sold or intend to sell insurance product(s) not available through Ameriprise. Board of Directors; Anne Anastasia Charitable Foundation; Corporate Secretary; Hollywood, FL 33019; Not Investment Related; January 2010; 1-9 hours per month; 1-9 during trading hours. Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
October 21, 2021 - February 7, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Scarsdale, NY
Past
October 21, 2021 - February 7, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Scarsdale, NY
Past
May 4, 2021 - October 22, 2021
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
SCARSDALE, NY
Past
October 2, 1989 - October 22, 2021
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SCARSDALE, NY
Past
September 1, 1989 - October 2, 1989
CADARET, GRANT & CO., INC.
BD
CRD#: 16404
Past
May 11, 1984 - September 20, 1989
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
September 1, 1976 - October 13, 1981
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
Past
September 1, 1976 - February 24, 1983
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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".
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/25/1976
Registered Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9013rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3131
Established
Delaware since 06/14/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
14,000
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
