Frank Ottaviani
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 Ottaviani was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1984. Frank had worked at 16 firms and has passed the Series 63 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
December 24, 1996 - May 7, 1997
JOSEPH DILLON & COMPANY INC.
September 25, 1996 - January 1, 1997
ROAN CAPITAL PARTNERS L.P.
June 14, 1996 - August 12, 1996
COLIN WINTHROP & CO., INC.
November 1, 1995 - August 5, 1996
CORTLANDT CAPITAL CORPORATION
March 7, 1995 - October 11, 1996
GRUNTAL & CO., L.L.C.
October 19, 1994 - March 8, 1995
JOSEPHTHAL & CO., INC.
January 5, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
May 13, 1992 - January 5, 1994
GRUNTAL & CO., L.L.C.
December 6, 1991 - May 19, 1992
PRIME CAPITAL SERVICES, INC.
July 3, 1991 - June 13, 1992
SCHNEIDER SECURITIES, INC.
May 31, 1991 - July 5, 1991
FIRST INDEPENDENCE GROUP INC.
November 30, 1990 - June 20, 1991
CHATFIELD DEAN & CO., INC.
March 2, 1990 - December 11, 1990
FIRST INDEPENDENCE GROUP INC.
July 20, 1989 - September 25, 1989
FIRST FIDELITY CAPITAL CORP.
May 18, 1989 - July 14, 1989
ROBERT TODD FINANCIAL CORP.
March 9, 1989 - May 20, 1989
A.J. MICHAELS & CO., LTD.
January 18, 1988 - March 10, 1989
INVESTORS CENTER, INC.
March 18, 1987 - September 4, 1987
INVESTORS CENTER, INC.
July 26, 1984 - January 10, 1987
BLINDER, ROBINSON & CO., 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
JOSEPH DILLON & COMPANY INC.
CRD#: 35220 / SEC#: , 8-46589
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 11 |
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.
