Francis J. Treglia
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.
Francis Joseph Treglia, who also goes by Frank Treglia, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1985. Francis had worked at 9 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 87, Series 7, Series 14, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2008 - May 21, 2009
SIG INDEX SPECIALISTS, LLC
April 15, 2005 - March 31, 2006
RIVER SECURITIES, LLC
June 6, 2002 - October 7, 2025
SUSQUEHANNA FINANCIAL GROUP, LLLP
May 17, 2002 - October 7, 2025
SIG BROKERAGE, LP
April 25, 2001 - August 10, 2001
QUICK & REILLY, INC.
May 1, 1996 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
June 16, 1986 - May 1, 1996
UJB DISCOUNT BROKERAGE CO.
January 3, 1986 - June 12, 1986
MARSHALL DAVIS, INC.
February 8, 1985 - August 5, 1985
NIELSON AND CLARK INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SIG INDEX SPECIALISTS, LLC
CRD#: 120014 / SEC#: , 8-65241
Contact information
Documents
Red Flags
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