Chief Compliance Officer
Vincent is the Chief Compliance Officer for Glen Eagle Advisors and Glen Eagle Wealth. He is responsible for regulatory monitoring of the firm’s registered representatives and implementation of supervisory policies & procedures. Vincent is also responsible for continuing education training; maintaining the firm’s business continuity planning; and monitoring the books & records.
Vincent started his finance carrier with the Prudential Insurance Company of America in 1988. He has held many “C” level positions at other broker-dealers over the past 16 years, including serving as CCO and COO at Trade Trek Securities, LLC, and CEO and CCO for New Albion Partners, LLC. Vincent maintains the Series 7, 24, 57, 63, 99 registrations.