Frank O. Spampinato
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 Onofrio Spampinato, who also goes by Frank Onofri Spampinato, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1984. Frank had worked at 4 firms and has passed the Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1991 - September 2, 1992
FAIC SECURITIES, INC.
February 8, 1991 - April 2, 1991
PARAGON CAPITAL MARKETS, INC.
September 11, 1987 - April 16, 1991
ADAMS, BLOCK & COE SECURITIES, INC.
June 4, 1984 - April 13, 1987
A. F. BEST 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
Current Firm
FAIC SECURITIES, INC.
CRD#: 8323 / SEC#: , 8-25069
Contact information
Documents
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.
