Frank J. Albano
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 Albano was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2017 - April 30, 2021
WADDELL & REED
October 2, 2017 - April 30, 2021
WADDELL & REED
August 4, 2017 - September 21, 2017
PARKLAND SECURITIES, LLC
August 3, 2017 - September 21, 2017
SPC
October 17, 2016 - September 7, 2017
ACORN WEALTH ADVISORS, LLC
January 12, 2012 - September 11, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
January 12, 2012 - September 11, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
December 14, 2010 - December 16, 2011
OPPENHEIMER & CO. INC.
December 9, 2010 - December 16, 2011
OPPENHEIMER & CO. INC.
November 3, 2010 - December 3, 2010
MORGAN STANLEY
June 1, 2009 - December 3, 2010
MORGAN STANLEY
July 3, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 1, 2003 - May 31, 2006
WELLS FARGO CLEARING SERVICES, LLC
January 9, 1990 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 21, 1983 - January 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 7/15/2022
General Securities Representative ExaminationSeries 15
Date: 7/25/1991
Foreign Currency Options ExaminationSeries 5
Date: 7/25/1991
Interest Rate Options ExaminationSeries 8
Date: 4/20/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
