Frank R. Spiccati
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 Robert Spiccati, who also goes by Frank R Spiccati, Frank Spiccati, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1986. Frank had worked at 15 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 31, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - January 19, 2021
BB&T SECURITIES, LLC
January 2, 2018 - January 19, 2021
BB&T SECURITIES, LLC
August 12, 2014 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
August 11, 2014 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
March 22, 2013 - August 14, 2014
LPL FINANCIAL LLC
March 21, 2013 - August 14, 2014
LPL FINANCIAL LLC
September 6, 2012 - March 21, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
August 2, 2012 - March 21, 2013
ALLSTATE FINANCIAL SERVICES, LLC
January 20, 2011 - December 31, 2011
J. W. COLE ADVISORS, INC.
January 3, 2011 - July 13, 2012
J.W. COLE FINANCIAL, INC.
December 5, 2008 - January 7, 2011
TRUIST INVESTMENT SERVICES, INC.
December 1, 2008 - January 7, 2011
TRUIST INVESTMENT SERVICES, INC.
February 5, 2008 - September 4, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
August 15, 2007 - September 4, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
February 2, 2007 - August 17, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - August 17, 2007
WELLS FARGO CLEARING SERVICES, LLC
April 3, 2002 - February 1, 2007
ATLAS SECURITIES, LLC
February 19, 2002 - March 25, 2002
ALLSTATE FINANCIAL SERVICES, LLC
October 8, 2001 - December 18, 2001
AMSOUTH INVESTMENT SERVICES, INC.
December 9, 1997 - October 11, 2001
ATLAS SECURITIES, LLC
January 17, 1997 - December 4, 1997
VOYA FINANCIAL ADVISORS, INC.
May 17, 1995 - January 16, 1996
MORGAN STANLEY DW INC.
July 9, 1986 - January 1, 1987
FORESTERS FINANCIAL SERVICES, INC.
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
BB&T SECURITIES, LLC
CRD#: 142785 / SEC#: 801-77145, 8-67486
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | SOLE MEMBER | |
| CRAM, BRYAN SCOTT | CHIEF EXECUTIVE OFFICER/BOARD OF MANAGERS | 2723431 |
| HECHTLINGER, SUSAN | CHIEF COMPLIANCE OFFICER/ BOARD OF MANAGERS | 2890466 |
| MCCALLUM, CHARLES FALCONER III | HEAD OF SUPERVISION/BOARD OF MANAGERS | 2697260 |
| RIP, OLGA | PRINCIPAL FINANCIAL OFFICER | 5440553 |
| SPEETJENS, FELICIA ANN | HEAD OF PRODUCT/BOARD OF MANAGERS | 3197366 |
| TYSON, TONYA BELFIELD | PRINCIPAL OPERATIONS OFFICER | 1987448 |
Disclosures
| Regulatory Event | 49 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
