Frank M. Vecchio
Professional summary
Frank Michael Vecchio 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 1986. Prior to being barred, Frank had worked at 25 firms, which includes NEWBRIDGE SECURITIES CORPORATION, STOEVER GLASS & COMPANY INC., PEAK SECURITIES CORPORATION, FMSBONDS INC., PRIME CAPITAL SERVICES INC., QUESTAR CAPITAL CORPORATION, MILESTONE FINANCIAL SERVICES INC., FRANKLIN ROSS INC., GMS GROUP, GKN SECURITIES CORP., JWGENESIS SECURITIES INC., JOSEPHTHAL & CO. INC., D. BLECH & COMPANY INCORPORATED, ROYAL PALM INVESTMENTS LTD., REICH & CO. INC., FINANCIAL SECURITIES NETWORKINC., PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC., HANOVER STERLING & COMPANY LTD., MOORE & SCHLEY CAMERON & CO., MOSELEY SECURITIES CORPORATION, CITIGROUP GLOBAL MARKETS INC., D. H. BLAIR & CO. INC., MORGAN STANLEY DW INC., WESTPORT FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2007 - March 11, 2008
NEWBRIDGE SECURITIES CORPORATION
December 15, 2006 - February 2, 2007
STOEVER, GLASS & COMPANY INC.
January 9, 2006 - March 31, 2006
PEAK SECURITIES CORPORATION
November 19, 2004 - April 5, 2005
FMSBONDS, INC.
October 6, 1999 - June 15, 2001
PRIME CAPITAL SERVICES, INC.
June 28, 1999 - September 29, 1999
QUESTAR CAPITAL CORPORATION
February 7, 1999 - June 23, 1999
MILESTONE FINANCIAL SERVICES, INC.
October 8, 1998 - December 21, 1998
FRANKLIN ROSS, INC.
December 16, 1996 - September 10, 1998
GMS GROUP
April 25, 1995 - December 23, 1996
GKN SECURITIES CORP.
September 29, 1994 - May 18, 1995
JWGENESIS SECURITIES, INC.
September 26, 1994 - October 4, 1994
JOSEPHTHAL & CO., INC.
March 16, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
February 18, 1994 - April 14, 1994
ROYAL PALM INVESTMENTS, LTD.
January 6, 1993 - March 15, 1994
JOSEPHTHAL & CO., INC.
December 1, 1992 - February 4, 1993
REICH & CO., INC.
August 17, 1992 - December 1, 1992
REICH & CO., INC.
April 13, 1992 - September 4, 1992
FINANCIAL SECURITIES NETWORK,INC.
September 25, 1991 - April 7, 1992
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
June 19, 1991 - July 12, 1991
HANOVER, STERLING & COMPANY LTD.
January 25, 1988 - July 19, 1988
MOORE & SCHLEY, CAMERON & CO.
July 10, 1987 - February 10, 1988
MOSELEY SECURITIES CORPORATION
June 25, 1987 - July 2, 1987
CITIGROUP GLOBAL MARKETS INC.
February 2, 1987 - July 1, 1987
D. H. BLAIR & CO., INC.
January 16, 1987 - February 12, 1987
MORGAN STANLEY DW INC.
November 18, 1986 - February 23, 1987
WESTPORT FINANCIAL GROUP, 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
Current Firm
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065 / SEC#: , 8-52538
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWBRIDGE FINANCIAL INC. | OWNER | |
| BUDDIE, GIOVINA ANN | FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER | 1997691 |
| CASOLARO, THOMAS JOSEPH | CO-CEO & CHAIRMAN | 1812805 |
| CHAMPION, CHAD DANA | SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS | 3038162 |
| ROBLES, VICTOR MANUEL | FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4490918 |
| SLAVIK, RICHARD WAYNE | CHIEF COMPLIANCE OFFICER | 2122910 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 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.
