Frank A. Derice
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 Anthony Derice, who also goes by Frank Derice, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1986. Frank had worked at 9 firms and has passed the Series 63, Series 7 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 18, 2011 - December 31, 2011
FORTUNE FINANCIAL SERVICES, INC.
December 15, 2005 - July 15, 2010
AMERITAS INVESTMENT COMPANY, LLC
February 21, 2003 - November 30, 2005
WOODBURY FINANCIAL SERVICES, INC.
November 5, 2001 - February 19, 2003
INTERVEST INTERNATIONAL EQUITIES CORPORATION
July 9, 1993 - November 1, 2001
WOODBURY FINANCIAL SERVICES, INC.
January 22, 1993 - June 21, 1993
OSAIC FS, INC.
November 13, 1991 - January 22, 1993
KOBER FINANCIAL CORP.
December 21, 1989 - November 16, 1991
IDS LIFE INSURANCE COMPANY
December 21, 1989 - November 16, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
July 20, 1989 - January 1, 1990
WOODBURY FINANCIAL SERVICES, INC.
March 12, 1986 - October 1, 1987
PRUCO SECURITIES, LLC.
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
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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.
