FD
Francis Dispigna
PRINCIPAL SECURITIES
Melville, NY 11747
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CRD#: 1371048
FD
Professional summary
Francis Dispigna, who also goes by Frank J Dispigna, Frank Dispigna, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Melville, New York.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Francis has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank J Dispigna | Frank Dispigna
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.
**OUTSIDE INSURANCE, SELLS OUTSIDE HEALTH INSURANCE, 7/27/11. **METRO COASTAL ASSOCIATES LLC; OWNER, HOLDS PROPERTY; 03/17/16 **FAMILY FIRST PROPERTIES LLC; CO-OWNER, HOLDS VACATION HOME AND PROPERTIES; 03/17/16 **FAMILY FIRST MANAGEMENT LLC; OWNER, HOLDS PROPERTY; 03/17/16. ***Family First FD, LLC; Not Investment Related; Babylon, NY; Co-Owner; Single member LLC, entity had no activity until now. A contractor will be building single family home in 2020 for rental or sale purposes. Owned with spouse and manage the projects. Income will vary depending if property is sold or rented.; Start Date: 03/01/2018; 5% hrs per month; 0 during trading hours. ***Family first RJF, LLC; Not Investment Related; Babylon, NY; Co-Owner; Single member LLC, entity had no activity until now. A contractor will be building single family home in 2020 for rental or sale purposes. Owned with spouse and manage the projects. Income will vary depending if property is sold or rented.; Start Date: 03/01/2018; 5% hrs per month; 0 during trading hours. ***Evergreen Holdings II LLC; Not Investment Related; Middle Island, NY; Co-Owner; LLC purchased existing hom and lot. Home will eventually be renovated and possibly rented. Lot is currently vacan and no plans on future use have been made.; Start Date: 04/01/2021; 0 hrs per month; 0 during trading hours. EVERGREEN HOLDINGS II LLC POSITION: Co-Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2021 ADDRESS: 16 Evergreen Ave, Middle Island NY 11953, United States DESCRIPTION: LLC purchased and is currently holding a vacant lot for future development. METRO COASTAL ASSOCIATES LLC POSITION: Managing Member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/17/2016 ADDRESS: 51 Araca Road, Babylon NY 11702, United States DESCRIPTION: Single Member LLC. LLC owns a home for rental income. FAMILY FIRST PROPERTIES, LLC POSITION: Managing Member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/17/2016 ADDRESS: 51 Araca Road, Babylon NY 11702, United States DESCRIPTION: Owned previous properties. There are no holdings in this LLC at this time. FAMILY FIRST FD, LLC POSITION: Managing Member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2018 ADDRESS: 51 Araca Road, Babylon NY 11702, United States DESCRIPTION: Single member LLC, single family home built in 2020 and is now rented. FAMILY FIRST RJF, LLC POSITION: Managing Member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2018 ADDRESS: 51 Araca Road, Babylon NY 11702, United States DESCRIPTION: Single member LLC, a single family home was built in 2020 and is now rented.
CRS (Client Relationship Summary) - RIA
Click below to view Francis Dispigna's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Francis Dispigna's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 30, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 48 S Service Rd Ste 402, Melville, NY 11747RIA
BD
CRD#: 1137
Melville, NY
Current
October 17, 2007 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 48 S Service Rd Ste 402, Melville, NY 11747RIA
BD
CRD#: 1137
Melville, NY
Past
April 21, 2004 - October 31, 2007
OBSIDIAN FINANCIAL GROUP, LLC
BD
CRD#: 104255
BABYLON, NY
Past
September 18, 1991 - April 21, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
March 2, 1990 - September 25, 1991
HASAN GROWNEY CO. INC.
BD
CRD#: 17137
Past
January 3, 1989 - December 21, 1989
J F LOWE & COMPANY INCORPORATED
BD
CRD#: 11830
Past
November 7, 1988 - December 21, 1988
GSG GLOBAL SECURITIES GROUP INC.
BD
CRD#: 16135
Past
July 28, 1988 - November 2, 1988
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
Past
January 4, 1988 - July 15, 1988
GREENTREE SECURITIES CORP.
BD
CRD#: 7372
Past
July 23, 1985 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
BD
CRD#: 14156
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/19/2025)
RR
California(2/23/2021)
RR
Colorado(4/25/2016)
RR
Connecticut(12/16/2009)
RR
Delaware(3/20/2013)
RR
Florida(10/17/2007)
RR
Georgia(7/10/2008)
RR
Illinois(10/15/2025)
RR
Indiana(10/31/2018)
RR
Iowa(9/29/2021)
RR
Kansas(9/29/2021)
RR
Maine(12/18/2024)
RR
Maryland(4/30/2020)
RR
Massachusetts(6/22/2012)
RR
Michigan(2/16/2016)
RR
Minnesota(8/13/2025)
RR
Nevada(5/15/2019)
RR
New Hampshire(9/29/2021)
RR
New Jersey(10/17/2007)
RR
New York(10/17/2007)
IAR
New York(6/30/2021)
RR
North Carolina(6/28/2018)
RR
Ohio(6/5/2019)
RR
Oregon(9/29/2021)
RR
Pennsylvania(1/22/2008)
RR
Rhode Island(12/9/2013)
RR
South Carolina(11/30/2007)
RR
Vermont(9/29/2021)
RR
Virginia(6/3/2016)
RR
West Virginia(1/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
