Frank J. Casillo
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 John Casillo, who also goes by Francisco Casillo, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 17 firms and has passed the Series 63, Series 7, Series 8, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 1997 - August 28, 1999
BRIARWOOD INVESTMENT COUNSEL
August 27, 1997 - November 21, 1997
MAIDSTONE FINANCIAL, INC.
November 30, 1995 - August 4, 1997
H G I
November 8, 1995 - May 10, 1996
AMERICA FIRST ASSOCIATES CORP.
December 21, 1994 - March 14, 1995
ALLIANCE ASSET GROUP,INC.
October 5, 1994 - September 8, 1995
ANDREW GARRETT, INC.
July 30, 1993 - January 6, 1995
H G I
October 30, 1992 - June 11, 1993
KENSINGTON WELLS INCORPORATED
June 15, 1990 - August 14, 1992
STRATTON OAKMONT INC.
April 28, 1989 - May 29, 1990
PARKGREEN SECURITIES CORP.
December 15, 1988 - March 31, 1989
WAKEFIELD FINANCIAL CORPORATION
November 14, 1988 - November 29, 1988
EVANS & CO., INC.
September 16, 1986 - December 5, 1988
MARKETFIELD SECURITIES LIMITED
November 25, 1985 - June 30, 1986
MACPEG, ROSS, O'CONNELL & GOLDABER, INC.
September 9, 1985 - November 12, 1985
UNIVERSAL SECURITIES OF AMERICA, INC.
November 13, 1984 - January 15, 1985
SUTTON PLACE SECURITIES, INC.
June 29, 1984 - December 31, 1984
CARTWRIGHT SECURITIES, INC.
September 21, 1983 - April 5, 1984
OLIVER ROSE SECURITIES, 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: 7/22/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRIARWOOD INVESTMENT COUNSEL
CRD#: 6368 / SEC#: , 8-21715
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
