Frank Baiata
Professional Summary
Frank Baiata was a registered financial advisor. Frank was a previously registered financial professional and started their career in finance 1981 - 2014. Frank had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 22, Series 6, Series 53, Series 4, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
NORTH NASSAU ADVISORS, LLC
Contact Information
Established
New York since 11/09/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 123INVEST CORP | OWNER | — |
| S.S.O.CAPITAL, INC. | OWNER | — |
| GIMELSON, BRIAN FREDERICK | PRESIDENT/CEO, CHIEF COMPLIANCE OFFICER | 2262474 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Jun 1982About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1981About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 1986About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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