Frank J. Fasano
Professional summary
Frank Joseph Fasano was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Frank had worked at 6 firms, which includes SFI INVESTMENTS INC., FIRST INTERREGIONAL EQUITY CORP., MUNICIPAL INVESTORS SERVICE INC., FIRSTMARK SECURITIES INC., BEVILL BRESLER & SCHULMAN INCORPORATED, MCLAUGHLIN PIVEN VOGEL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1988 - December 19, 1997
SFI INVESTMENTS, INC.
January 13, 1987 - December 12, 1987
FIRST INTERREGIONAL EQUITY CORP.
January 27, 1986 - January 16, 1987
MUNICIPAL INVESTORS SERVICE, INC.
July 20, 1985 - November 25, 1985
FIRSTMARK SECURITIES, INC.
April 10, 1985 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
August 26, 1981 - March 26, 1985
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 8/30/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SFI INVESTMENTS, INC.
CRD#: 21663 / SEC#: , 8-39151
Contact information
Documents
Red Flags
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