Frank Baldo
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 Baldo was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 14 firms and has passed the Series 65, Series 66, Series 63, SIE, 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
January 26, 2022 - April 19, 2023
CHARLES SCHWAB & CO., INC.
January 26, 2022 - April 19, 2023
CHARLES SCHWAB & CO., INC.
February 27, 2018 - October 14, 2022
TD AMERITRADE, INC.
February 26, 2018 - April 19, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - April 19, 2023
TD AMERITRADE, INC.
June 27, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 16, 2014 - February 26, 2018
SCOTTRADE, INC.
February 14, 2013 - July 11, 2014
PRUCO SECURITIES, LLC.
November 22, 2011 - July 11, 2014
PRUCO SECURITIES, LLC.
August 13, 2007 - May 17, 2011
A.G.P. / ALLIANCE GLOBAL PARTNERS
April 25, 2006 - July 18, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 4, 2005 - July 18, 2007
TD AMERITRADE, INC.
February 4, 2005 - July 18, 2007
TD AMERITRADE, INC.
September 21, 2001 - November 22, 2004
CHARLES SCHWAB & CO., INC.
May 8, 2000 - November 22, 2004
CHARLES SCHWAB & CO., INC.
March 25, 1997 - March 17, 1999
FIS SECURITIES, INC.
August 21, 1996 - March 17, 1997
CHASE INVESTMENT SERVICES CORP.
February 1, 1995 - August 21, 1996
FISERV INVESTOR SERVICES, INC.
April 1, 1993 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
January 18, 1991 - March 3, 1992
DAVID LERNER ASSOCIATES, INC.
June 2, 1989 - July 3, 1989
UBS FINANCIAL SERVICES INC.
December 21, 1983 - June 16, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
