Frank A. Passarelli
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 Andrew Passarelli was a registered financial advisor .
Frank is a previously registered financial advisor and started their career in finance in 1983. Frank had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2014 - March 12, 2015
ON INVESTMENT MANAGEMENT CO
September 23, 2013 - March 12, 2015
THE O.N. EQUITY SALES COMPANY
January 22, 2001 - June 6, 2013
PARK AVENUE SECURITIES LLC
May 3, 1999 - June 6, 2013
PARK AVENUE SECURITIES LLC
April 10, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
June 3, 1983 - April 1, 1994
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
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
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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