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Vincent THOMAS Ferrara JR
Vincent THOMAS Ferrara
CRD#: 1791902
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 1001 Franklin Ave Ste 302
Garden City, NY 11530
Garden City, NY 11530
View By:
12/31/2010
Criminal
Final Disposition
4/23/2001
Customer Dispute
Settled
3/16/2000
Customer Dispute
Denied
State Registrations
B
Alaska 2/20/2024
B
New York 2/20/2024
B
Arizona 2/20/2024
B
North Carolina 2/20/2024
B
California 2/20/2024
B
Ohio 2/20/2024
B
Connecticut 2/20/2024
B
Oregon 2/20/2024
B
Delaware 2/20/2024
B
Pennsylvania 2/20/2024
B
Florida 2/20/2024
B
Rhode Island 2/20/2024
B
Georgia 2/22/2024
B
South Carolina 2/22/2024
B
Hawaii 2/27/2024
B
Tennessee 2/20/2024
B
Maine 2/20/2024
IA
Texas 2/16/2024
B
Maryland 2/20/2024
B
Texas 2/20/2024
B
Minnesota 2/22/2024
B
Vermont 2/20/2024
B
Nevada 2/20/2024
B
Virginia 2/20/2024
B
New Jersey 2/20/2024
B
Washington 2/20/2024
B
New Mexico 2/20/2024
B
Wyoming 2/20/2024
IA
New York 2/16/2024
SRO Registrations
B
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B
Registered with this firm since 2/20/2024
IA
Registered with this firm since 2/16/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/06/2008 - 02/22/2024 | GARDEN CITY, NY | |
B | 06/06/2008 - 02/22/2024 | GARDEN CITY, NY | |
IA | 05/29/2007 - 06/26/2008 | PLAINVIEW, NY | |
B | 05/29/2007 - 06/26/2008 | PLAINVIEW, NY | |
IA | 02/07/2007 - 05/29/2007 | MASSAPEQUA PARK, NY | |
B | 07/09/1992 - 05/29/2007 | MASSAPEQUA PARK, NY | |
B | 02/22/1993 - 07/13/1995 | ||
B | 05/03/1989 - 03/23/1992 | NEWARK, NJ | |
B | 05/03/1989 - 03/23/1992 | NEWARK, NJ | |
B | 05/20/1988 - 04/08/1989 | ||
B | 02/23/1988 - 05/21/1988 |
GARDEN CITY, NY
06/06/2008 - 02/22/2024
GARDEN CITY, NY
06/06/2008 - 02/22/2024
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.