Frank J. Maresca
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 John Maresca, who also goes by Frank J Maresca, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1985. Frank had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - July 10, 2017
AST INVESTOR SERVICES LLC
March 30, 2009 - February 27, 2012
ULTIMUS FUND DISTRIBUTORS, LLC
March 25, 1992 - March 16, 2009
J.P. MORGAN SECURITIES LLC
July 21, 1988 - March 25, 1992
UBS ASSET MANAGEMENT (US) INC.
May 22, 1987 - June 23, 1988
J.P. MORGAN SECURITIES LLC
December 3, 1985 - May 29, 1987
DEUTSCHE BANK CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
AST INVESTOR SERVICES LLC
CRD#: 155050 / SEC#: , 8-68694
Contact information
Documents
Red Flags
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