Frank Giaccio
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 Giaccio was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1985. Frank had worked at 14 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2015 - September 10, 2015
NEXT FINANCIAL GROUP, INC.
November 29, 2012 - April 10, 2013
MERION WEALTH PARTNERS, LLC
February 15, 2012 - December 31, 2014
MERCAP SECURITIES, LLC
August 12, 2009 - December 31, 2011
SECURITIES AMERICA ADVISORS, INC.
May 11, 2009 - December 31, 2011
SECURITIES AMERICA, INC.
October 9, 2006 - May 12, 2009
CINCINNATI ANALYSTS, INC.
June 1, 2006 - May 12, 2009
CINCINNATI ANALYSTS, INC.
November 30, 2005 - June 8, 2006
FSC SECURITIES CORPORATION
November 30, 2005 - June 8, 2006
FSC SECURITIES CORPORATION
December 16, 2004 - April 1, 2005
PAN-AMERICAN INVESTMENT ADVISERS, INC.
December 16, 2001 - November 30, 2005
PAN-AMERICAN FINANCIAL ADVISERS
October 29, 1990 - December 16, 2001
AMERICAN CAPITAL CORPORATION
October 7, 1988 - October 26, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 7, 1988 - October 26, 1990
SIGNATOR INVESTORS, INC.
May 31, 1985 - October 12, 1988
VP DISTRIBUTORS LLC
April 17, 1985 - April 29, 1986
AMERICAN PREFERRED SECURITIES, INC.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
