Frank J. Dambrosio
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 Dambrosio was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2021 - July 26, 2022
FORESIDE FUND SERVICES, LLC
February 17, 2016 - April 5, 2019
MERCURY CAPITAL ADVISORS, LLC
July 6, 2010 - April 25, 2016
HUDSON PARTNERS SECURITIES LLC
May 10, 2010 - September 1, 2011
ASPEN EQUITY PARTNERS, LLC
December 11, 2007 - October 6, 2009
HASTINGS CAPITAL GROUP, LLC
January 26, 2004 - July 10, 2007
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
July 25, 2002 - January 9, 2004
NEUBERGER BERMAN BD LLC
April 2, 2001 - January 9, 2004
NEUBERGER BERMAN BD LLC
October 20, 1998 - April 10, 2001
RAYMOND JAMES & ASSOCIATES, INC.
March 1, 1994 - October 9, 1998
J.P. MORGAN SECURITIES LLC
September 30, 1991 - January 31, 1994
CANTOR FITZGERALD & CO.
July 20, 1983 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
July 20, 1983 - October 21, 1991
UBS FINANCIAL SERVICES 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 55
Date: 5/3/2001
Limited Representative-Equity Trader ExamCurrent Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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