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FF

Frank J. Furino

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CRD#: 1308372
FF

Professional summary

Frank John Furino was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Frank is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Frank had worked at 2 firms, which includes JEFFERIES EXECUTION SERVICES INC., LAWRENCE HELFANT LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 15, 2002 - February 25, 2005

JEFFERIES EXECUTION SERVICES, INC.

BD
CRD#: 867
NEW YORK, NY
Past

October 1, 2000 - January 14, 2002

LAWRENCE HELFANT LLC

BD
CRD#: 32829
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7A
Date: 11/24/2004
Floor Broker Representative Exam
General Industry/Product Exam
RR
Series 25
Date: 5/18/1999
NYSE Trading Assistant Examination

Current Firm

JE
JEFFERIES EXECUTION SERVICES, INC.
HELFANT GROUP, INC. | WAGENSELLER & DURST, INC. | W & D SECURITIES, INC. | JEFFERIES EXECUTION SERVICES, INC.

CRD#: 867 / SEC#: , 8-2671

BD
Terminated by SEC on 01/19/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 10/31/1947
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JEFFERIES GROUP LLCSOLE MEMBER
GALVIN, KEVINCHIEF FINANCIAL OFFICER2215587
NOONAN, JOHN JOSEPHCHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR2757973
SMITH, TIMOTHY ARMSTRONGCHIEF COMPLIANCE OFFICER3059742

Disclosures

Regulatory Event19

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.

Company Information

JEFFERIES EXECUTION SERVICES, INC.

CRD#: 867

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