Frank C. Gilroy
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 Charles Gilroy, who also goes by Frank Gilroy, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1982. Frank had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2009 - December 21, 2020
SUSQUEHANNA FINANCIAL GROUP, LLLP
January 7, 2005 - September 30, 2008
FHN FINANCIAL SECURITIES CORP.
August 8, 1997 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 19, 1996 - December 24, 1996
FIRST UNION CAPITAL MARKETS CORP.
March 26, 1996 - July 17, 1996
J.P. MORGAN SECURITIES INC.
August 23, 1994 - March 26, 1996
CHASE SECURITIES, INC.
September 30, 1991 - August 4, 1994
FINANCIAL SQUARE PARTNERS
June 21, 1988 - September 13, 1991
TUCKER ANTHONY INCORPORATED
August 24, 1987 - July 9, 1988
FINANCIAL SQUARE PARTNERS
July 31, 1986 - April 21, 1987
THOMSON MCKINNON SECURITIES INC.
September 24, 1985 - July 16, 1986
PRESCOTT, BALL & TURBEN, INC.
June 13, 1985 - October 18, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
June 10, 1983 - March 15, 1985
RUSSELL & CO
December 21, 1982 - June 20, 1983
HSBC BROKERAGE (USA) INC.
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
Series 8
Date: 3/1/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUSQUEHANNA FINANCIAL GROUP, LLLP
CRD#: 35865 / SEC#: , 8-44325
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
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.
