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Vincent Mario Saponar

Barclays Capital Inc.

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About Vincent Mario Saponar

Vincent Saponar is a financial professional with over 20 years of experience in the securities industry. Vincent has a strong background in operations and compliance, having held various roles at prominent firms such as RBC Capital Markets, LLC, RBS Securities Inc., CIBC World Markets Corp., and Newbridge Securities Inc. Vincent is currently registered with Barclays Capital Inc. Vincent is also a Series 7, 8, 14, 27, 28, 99, and SIE license holder.

Firm Information

Vincent Saponar is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Vincent Saponar’s Registration & Firm History

NY

06/04/2024 - Present

Barclays Capital Inc. (NEW YORK NY)

NJ

12/18/2017 - 06/05/2024

RBC CAPITAL MARKETS, LLC (Jersey City NJ)

CT

03/11/2011 - 05/29/2012

RBS SECURITIES INC. (STAMFORD CT)

NY

04/12/1994 - 12/31/2008

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

12/03/1993 - 03/06/1995

NEWBRIDGE SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/02/2023

Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination

BC

Issued 04/25/2019

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/25/1996

Series 14 - Compliance Officer Examination

BC

Issued 03/24/1995

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/18/2017

Series 99 - Operations Professional Examination

BC

Issued 11/18/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Vincent Mario Saponar.
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