Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
VINCENT BERNARD MASTROVITO
VINCE BERNARD MASTROVITO
CRD#: 2044645
IA
Previous Investment Adviser
B
Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2011201220132014201520162017201820192020202120222023IAJ. W. COLE ADVISORS, INC. (CRD# 112294)2013 - 2021 (8 years)IALINCOLN FINANCIAL ADVISORS COR... (CRD# 3978)2013 - 2013 (<1 year)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2012 - 2013 (1 year)IAFIRST HEARTLAND CONSULTANTS, INC. (CRD# 110377)2011 - 2012 (<1 year)
Disclosure(s)
View By:
1/24/2022
Customer Dispute
Award / Judgment
1/18/2022
Customer Dispute
Settled
5/25/2021
Customer Dispute
Denied
9/6/2013
Employment Separation After Allegations
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/06/2013 - 12/31/2021 J. W. COLE ADVISORS, INC. (CRD#:112294) NOVI, MI
IA
 09/17/2013 - 10/10/2013 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) HOLLAND, OH
IA
 03/20/2012 - 09/19/2013 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) BLOOMFIELD HILLS, MI
IA
 05/23/2011 - 04/13/2012 FIRST HEARTLAND CONSULTANTS, INC. (CRD#:110377) WEST BLOOMFIELD, MI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.