Frank Palo
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 Palo was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2000. Frank had worked at 3 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2005 - December 18, 2023
ABNER HERRMAN & BROCK, LLC
August 22, 2003 - February 12, 2004
THE O.N. EQUITY SALES COMPANY
June 12, 2001 - August 30, 2001
FAMILY MANAGEMENT SECURITIES, LLC
July 21, 2000 - November 5, 2001
ABNER HERRMAN & BROCK, LLC
Primary Firm SEC Registration
ABNER HERRMAN & BROCK, LLC
CRD#: 8517 / SEC#: 801-17402, 8-25549
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
ABNER HERRMAN & BROCK, LLC
CRD#: 8517 / SEC#: 801-17402, 8-25549
Contact information
SEC notice filing (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ABNER, HERRMAN & BROCK, INC. | MEMBER | |
| ABNER, HOWARD JEROME | CHIEF COMPLIANCE OFFICER | 353 |
Regulatory assets under management
| Total Number of Accounts | 2,177 |
| AUM (Assets Under Management) | $ 2,430,649,447 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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