Frank J. Ali
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 Joseph Ali, who also goes by Frank J Ali, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1995. Frank had worked at 7 firms and has passed the Series 63, Series 7, Series 25, Series 14 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2005 - November 29, 2006
BONSIGNORE, CHARLES
April 19, 2004 - June 6, 2005
LEK SECURITIES CORPORATION
January 10, 2001 - April 4, 2005
E&J SECURITIES CORP.
October 1, 2000 - April 20, 2004
J & D SECURITIES LLC
September 5, 1997 - July 16, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 4, 1996 - April 30, 1997
BRILL SECURITIES, INC.
March 9, 1995 - June 29, 1995
SBC WARBURG, 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 25
Date: 3/30/1999
NYSE Trading Assistant ExaminationSeries 12
Date: 12/15/1997
NYSE Branch Manager ExaminationCurrent Firm
BONSIGNORE, CHARLES
CRD#: 135535 / SEC#: , 8-66928
Contact information
Documents
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.
