Frank S. Driscoll
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 Stephen Driscoll, who also goes by Francis Stephen Driscoll, Frank Stephen Driscoll, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1986. Frank had worked at 8 firms and has passed the Series 63, Series 55, Series 3, Series 7 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
November 16, 2011 - June 29, 2012
DETWILER FENTON & CO.
August 17, 2010 - August 25, 2011
GLEACHER & COMPANY SECURITIES, INC.
August 27, 2009 - August 23, 2010
SAL EQUITY TRADING, GP
December 4, 2002 - August 23, 2010
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 24, 1999 - December 2, 2002
THOMAS WEISEL PARTNERS LLC
October 29, 1997 - July 1, 1999
NATIONAL FINANCIAL SERVICES LLC
March 20, 1995 - October 20, 1997
LEHMAN BROTHERS INC.
July 23, 1986 - March 6, 1995
CREDIT SUISSE SECURITIES (USA) 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
Series 55
Date: 3/9/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 6/10/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DETWILER FENTON & CO.
CRD#: 1794 / SEC#: , 8-16324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DETWILER FENTON GROUP, INC. | HOLDING COMPANY | |
| FENTON, PETER DELIMA | CEO, PRESIDENT, CCO | 2334505 |
| KAPPOTIS, ERNEST D | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
| Bond | 2 |
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.
