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Detailed Report
Vincent Michael Ottaviano
VINCENT OTTAVIANO
CRD#: 6486203
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 1120 North Town Center
Suite #170
Las Vegas, NV 89144-6303
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - 2018 (1 year)3 FIRMS2018 - 2021 (2 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 1/31/2022
B
New York 4/20/2022
B
Arizona 3/26/2024
B
North Carolina 6/25/2024
B
California 11/29/2021
B
Ohio 10/21/2022
B
Colorado 3/7/2023
B
Oregon 1/28/2022
B
Florida 4/20/2022
B
South Carolina 4/20/2022
B
Georgia 9/18/2024
B
Tennessee 6/21/2023
B
Hawaii 4/20/2022
B
Texas 1/9/2022
B
Michigan 10/20/2022
B
Utah 1/9/2022
B
Nevada 8/26/2021
B
Vermont 10/20/2022
IA
Nevada 9/13/2021
B
Virginia 4/20/2022
B
New Jersey 4/20/2022
B
Washington 4/20/2022
B
New Mexico 4/20/2022

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1120 North Town Center Suite #170, Las Vegas, NV 89144-6303
Registered with this firm since 9/13/2021
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1120 North Town Center Suite #170, Las Vegas, NV 89144-6303
Registered with this firm since 8/26/2021
Previous Registration(s)
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B
 12/07/2018 - 10/20/2021 TD AMERITRADE, INC. (CRD#:7870) LAS VEGAS, NV
IA
 12/17/2018 - 08/27/2021 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Las Vegas, NV
IA
 12/17/2018 - 08/26/2021 TD AMERITRADE, INC. (CRD#:7870) LAS VEGAS, NV
IA
 04/24/2017 - 11/23/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Las Vegas, NV
B
 04/06/2017 - 11/23/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Las Vegas, NV
IA
 04/29/2016 - 03/23/2017 WADDELL & REED (CRD#:866) LAS VEGAS, NV
B
 02/16/2016 - 03/23/2017 WADDELL & REED (CRD#:866) LAS VEGAS, NV
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.