Frank Baiata
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank Baiata was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1981. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2010 - June 17, 2014
NORTH NASSAU ADVISORS, LLC
May 16, 2007 - June 17, 2014
NORTH NASSAU ADVISORS, LLC
October 26, 2006 - April 24, 2007
NPA ASSET MANAGEMENT, LLC
June 6, 2002 - April 24, 2007
NATIONWIDE PLANNING ASSOCIATES INC.
February 23, 1987 - June 7, 2002
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
September 3, 1981 - February 20, 1987
C. J. M. PLANNING CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTH NASSAU ADVISORS, LLC
CRD#: 143169 / SEC#: , 8-67536
Contact information
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 | 4 |
Red Flags
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.
