Anthony J. Vignocchi
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.
Anthony Joseph Vignocchi, who also goes by Tony VIgnocchi, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1977. Anthony had worked at 3 firms and has passed the Series 63, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2007 - March 27, 2007
LEVEL FOUR FINANCIAL, LLC
February 16, 2007 - July 18, 2013
LEVEL FOUR FINANCIAL, LLC
September 21, 1993 - February 21, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 1, 1977 - September 30, 1993
RAYMOND JAMES & ASSOCIATES, INC.
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 15
Date: 1/13/1983
Foreign Currency Options ExaminationCurrent Firm
LEVEL FOUR FINANCIAL, LLC
CRD#: 25700 / SEC#: 801-65811, 8-41965
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
