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JF

Jean M. Fron

Some features on this profile are disabled
CRD#: 1032502
JF

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.

Jean Marie Fron, who also goes by Jean Smith Fron, Jean Smith, was a registered financial professional .

Jean is a previously registered financial professional and started their career in finance in 1982. Jean had worked at 10 firms and has passed the Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jean Smith Fron | Jean Smith

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 21, 2007 - March 6, 2012

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

BD
CRD#: 118812
BOCA RATON, FL
Past

May 3, 2001 - July 31, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

March 30, 1995 - October 6, 2000

HILL THOMPSON MAGID & CO., INC.

BD
CRD#: 2202
JERSEY CITY, NJ
Past

March 13, 1992 - March 6, 1995

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL
Past

September 26, 1989 - March 25, 1991

DREYFUS BROKERAGE SERVICES, INC.

BD
CRD#: 7289
LOS ANGELES, CA
Past

April 14, 1989 - July 6, 1989

NASH, WEISS & CO.

BD
CRD#: 6470
JERSEY CITY, NJ
Past

February 23, 1989 - April 13, 1989

MARTIN FINANCIAL PLANNING

BD
CRD#: 13254
Past

March 31, 1986 - November 10, 1988

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
Past

November 6, 1985 - February 14, 1986

PIPER SANDLER & CO.

BD
CRD#: 665
Past

June 6, 1983 - May 7, 1984

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

February 25, 1982 - June 6, 1983

PIPER SANDLER & CO.

BD
CRD#: 665

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 55
Date: 3/14/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/20/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/1/1998
General Securities Principal Examination

Current Firm

FA
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
FIRST AMERICAN CAPITAL AND TRADING CORPORATION | STC SECURITIES CORPORATION

CRD#: 118812 / SEC#: , 8-53687

BD
Terminated by SEC on 08/01/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/01/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AVA HOLDING CORP.SHAREHOLDER / HOLDING COMPANY
DEVITO, ROBERT MICHAELFINOP & MUNI PRINCIPAL4313445
JO, WILLIAM CHANGPRESIDENT / CHIEF COMPLIANCE OFFICER/ CROP / SROP2813562

Disclosures

Regulatory Event6

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.

Company Information

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

CRD#: 118812

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