Vincent A. Chiera
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 Anthony Chiera was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1977. Vincent had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 12, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2008 - September 26, 2018
SUMMIT BROKERAGE SERVICES, INC.
June 21, 2007 - August 17, 2007
JHS CAPITAL ADVISORS, LLC
April 12, 2005 - May 23, 2006
NATIONAL SECURITIES CORPORATION
November 11, 2004 - February 24, 2005
AMERIPRISE ADVISOR SERVICES, INC.
September 11, 2003 - November 12, 2004
EK RILEY INVESTMENTS, LLC
October 25, 1993 - January 2, 2001
JWGENESIS SECURITIES, INC.
December 16, 1985 - October 23, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 29, 1984 - January 1, 1986
BRODIS SECURITIES INCORPORATED
July 12, 1982 - October 29, 1984
FIRST AFFILIATED SECURITIES, INC.
March 28, 1979 - June 22, 1982
DOMIK CORP.
August 28, 1978 - June 21, 1979
BLINDER, ROBINSON & CO., INC.
November 10, 1977 - August 6, 1978
M. S. WIEN & CO., 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 12
Date: 9/24/2001
NYSE Branch Manager ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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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