Frank A. Guarascio
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 Anthony Guarascio, who also goes by Tony Guarascio, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1984. Frank had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 62, Series 6, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2009 - October 13, 2016
MADISON AVENUE SECURITIES, LLC
April 26, 2006 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
April 26, 2006 - October 13, 2016
MADISON AVENUE SECURITIES, LLC
October 31, 2005 - May 1, 2006
OSAIC SERVICES, INC.
October 31, 2005 - May 1, 2006
OSAIC SERVICES, INC.
April 11, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
September 11, 2000 - October 31, 2005
SUNAMERICA SECURITIES, INC.
August 25, 1994 - August 15, 2000
WMA SECURITIES, INC.
July 17, 1984 - June 12, 1985
CARDELL & ASSOCIATES, INCORPORATED
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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 62
Date: 12/28/2006
Corporate Securities Limited Representative ExaminationCurrent Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
