Frank P. Drago
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 P Drago, who also goes by Frank Paul Drago, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1986. Frank had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2018 - October 21, 2020
SANTANDER SECURITIES LLC
May 23, 2018 - October 21, 2020
SANTANDER SECURITIES LLC
April 29, 2013 - February 23, 2018
CITIZENS SECURITIES, INC.
April 25, 2013 - February 23, 2018
CITIZENS SECURITIES, INC.
May 29, 2007 - March 8, 2013
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - March 8, 2013
CITIGROUP GLOBAL MARKETS INC.
November 9, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
June 1, 1992 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 23, 1986 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
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
Series 8
Date: 1/24/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SMITH, MATTHEW PETER | NATIONAL BUSINESS DIRECTOR | 3209342 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
