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VP

Vincent A. Preziotte

Some features on this profile are disabled
CRD#: 845789
VP

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 Preziotte was a registered financial professional .

Vincent is a previously registered financial professional and started their career in finance in 1977. Vincent had worked at 6 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

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®
None

Experience

Past

January 20, 1998 - March 20, 2002

PENN PLAZA BROKERAGE, LTD.

BD
CRD#: 22366
NEW YORK, NY
Past

January 31, 1997 - December 31, 1997

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

September 15, 1995 - January 23, 1997

NOYES PARTNERS INCORPORATED

BD
CRD#: 10128
NEW YORK, NY
Past

June 7, 1991 - July 27, 1995

ARAGON FINANCIAL SERVICES, INC.

BD
CRD#: 16023
IRVINE, CA
Past

January 27, 1983 - June 22, 1989

KURZ-LIEBOW & COMPANY, INC.

BD
CRD#: 496
Past

December 2, 1977 - February 25, 1983

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

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

General Industry/Product Exam
RR
Series 1
Date: 11/18/1977
Registered Representative Examination

Current Firm

PP
PENN PLAZA BROKERAGE, LTD.
PENN PLAZA BROKERAGE, LTD.

CRD#: 22366 / SEC#: , 8-39687

BD
Terminated by SEC on 11/22/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/16/1987
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DANGELO, LEONARD THOMASVP60569
KANE, JACKPRESIDENT1297085
KANE, JACK NMNCHIEF COMPLIANCE OFFICER1297085
KANE, JACK NMNANTI-MONEY LAUNDERING-CO1297085

Disclosures

Regulatory Event3

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.

Company Information

PENN PLAZA BROKERAGE, LTD.

CRD#: 22366

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