Frank A. Delaney
Professional summary
Frank Aloysius Delaney IV was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Frank had worked at 2 firms, which includes MADISON PROPRIETARY TRADING GROUP LLC, BEAR WAGNER SPECIALISTS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2007 - July 9, 2008
MADISON PROPRIETARY TRADING GROUP, LLC
April 23, 2001 - October 2, 2007
BEAR WAGNER SPECIALISTS LLC
State Registrations and Notice Filings
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Exams
Current Firm
MADISON PROPRIETARY TRADING GROUP, LLC
CRD#: 139818 / SEC#: , 8-67252
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMR CAPITAL TRADING CORP. | DIRECT OWNER | |
| MT TRADING, LLC | MANAGING MEMBER | |
| DELGRECO, SHARON GAIL | CHIEF COMPLIANCE OFFICER | |
| PONZO, MICHAEL SALVATORE | INTERIM CHIEF OPERATING OFFICER | |
| STEIN, HOWARD LAWRENCE | CHIEF FINANCIAL OFFICER/FINOP | 1702619 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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