Vance W. Siler
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.
Vance Wayne Siler, who also goes by Vance W Siler, was a registered financial professional .
Vance is a previously registered financial professional and started their career in finance in 1979. Vance had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2011 - February 16, 2012
TRI-FOCUS CAPITAL, LLC
May 22, 2009 - October 18, 2011
NORTHWEST CRITERION ASSET MANAGEMENT, L.L.C.
June 4, 2003 - April 21, 2009
CHANNEL CAPITAL GROUP LLC
September 15, 1994 - December 11, 1997
SANWA UNIVERSAL SECURITIES CO., LLC
September 15, 1994 - December 11, 1997
SANWA SECURITIES (USA) CO., L.P.
May 16, 1991 - September 6, 1994
R.J. WALLS & CO., INC.
July 25, 1987 - November 12, 1991
MERRILL LYNCH GOVERNMENT SECURITIES INC.
October 23, 1986 - April 15, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 1984 - September 18, 1986
PERSHING LLC
July 27, 1979 - May 7, 1984
GOLDMAN SACHS & CO. LLC
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 5
Date: 10/16/1981
Interest Rate Options ExaminationCurrent Firm
TRI-FOCUS CAPITAL, LLC
CRD#: 157519 / SEC#: 801-72333
Contact information
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.
