Frank R. Mcgloin

CEROS FINANCIAL SERVICES

Rockville, MD 20850

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CRD#: 1544877

Professional summary

Frank Robert Mcgloin, who also goes by Frank Robert Held, Frank Robert Mcgloin, Frank R Mcgloinheld, Frank Robert Mcgloinheld, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in Rockville, Maryland.

Frank is registered as a RR (Registered Representative) and started their career in finance in 1995. Frank has worked at 20 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frank Robert Held | Frank Robert Mcgloin | Frank R Mcgloinheld | Frank Robert Mcgloinheld

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Robert Mcgloin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 19, 2025 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 1445 Research Boulevard Suite 530, Rockville, MD 20850

CRD#: 37869

Rockville, MD

Past

April 3, 2024 - May 16, 2025

BUCKMAN, BUCKMAN & REID, INC.

CRD#: 23407

LITTLE SILVER, NJ

Past

September 5, 2023 - January 4, 2024

CRAFT CAPITAL MANAGEMENT LLC

CRD#: 171350

Garden City, NY

Past

July 15, 2022 - September 12, 2023

REVERE SECURITIES LLC

CRD#: 14178

NEW YORK, NY

Past

February 11, 2019 - August 8, 2022

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

August 31, 2017 - February 11, 2019

J.H. DARBIE & CO., INC.

CRD#: 43520

HACKENSACK, NJ

Past

November 1, 2016 - July 18, 2017

FBN SECURITIES, INC.

CRD#: 18315

NEW YORK, NY

Past

September 3, 2016 - October 6, 2016

SCHOTTENFELD GROUP LLC

CRD#: 128103

NEW YORK, NY

Past

July 7, 2014 - March 20, 2015

MARTINEZ-AYME SECURITIES

CRD#: 109838

MIAMI, FL

Past

January 13, 2014 - May 5, 2014

BMA SECURITIES, LLC

CRD#: 108219

EL SEGUNDO, CA

Past

February 7, 2013 - January 30, 2014

BRAVER STERN SECURITIES LLC

CRD#: 29108

NEW YORK, NY

Past

July 16, 2012 - February 5, 2013

TEJAS SECURITIES GROUP, INC.

CRD#: 36705

NEW YORK, NY

Past

March 6, 2012 - June 22, 2012

TEJAS SECURITIES GROUP, INC.

CRD#: 36705

NEW YORK, NY

Past

July 19, 2011 - September 20, 2011

G-2 TRADING,LLC

CRD#: 44018

NEW YORK, NY

Past

September 1, 2010 - December 9, 2010

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

May 11, 2010 - August 20, 2010

REVERE SECURITIES LLC

CRD#: 14178

NEW YORK, NY

Past

January 22, 2009 - April 29, 2010

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

December 6, 2007 - October 21, 2008

NEW VERNON SECURITIES, LLC

CRD#: 44308

NEW YORK, NY

Past

June 8, 2005 - November 1, 2007

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

NEW YORK CITY, NY

Past

July 22, 2003 - April 8, 2005

NEWOAK CAPITAL MARKETS LLC

CRD#: 104063

NEW YORK, NY

Past

March 12, 2003 - July 30, 2003

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

August 14, 2002 - January 14, 2003

J.P. MATRIX PARTNERS L.L.C

CRD#: 117957

RED BANK, NJ

Past

March 1, 1995 - July 16, 2001

WM. V. FRANKEL & CO., INCORPORATED

CRD#: 1895

JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/19/2025)

Connecticut
(5/19/2025)

Illinois
(5/19/2025)

Massachusetts
(5/19/2025)

New Jersey
(6/26/2025)

New York
(5/19/2025)

Pennsylvania
(5/19/2025)

Texas
(5/19/2025)

Exams

State Security Law Exam

Series 63

Date: 3/17/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/1/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/6/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/2000

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869 / SEC#: , 8-47955

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Mailing Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Phone number

(866) 842-3356

Established

Massachusetts since 09/30/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DGB HOLDINGS, LLC	OWNER
AYERS-RIGSBY, MARY CATHERINE	PRESIDENT	830349
GOLDWASSER, MARK HARRY	CEO	1334008
GREENE, JON CHRISTOPHER	ROSFP	3202524
HOLLAND, ANGELA LYNNETTE	CHIEF COMPLIANCE OFFICER	3166586
POWELL, KIM ULMAN	CHIEF FINANCIAL OFFICER	6244231
WILSON, DANIEL	AMLCO	6763074

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Frank R. Mcgloin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Robert Mcgloin's CRS (Customer Relationship Summary).

Certified licenses

Experience

BUCKMAN, BUCKMAN & REID, INC.

CRAFT CAPITAL MANAGEMENT LLC

REVERE SECURITIES LLC

LAIDLAW & COMPANY (UK) LTD.

J.H. DARBIE & CO., INC.

FBN SECURITIES, INC.

SCHOTTENFELD GROUP LLC

MARTINEZ-AYME SECURITIES

BMA SECURITIES, LLC

BRAVER STERN SECURITIES LLC

TEJAS SECURITIES GROUP, INC.

TEJAS SECURITIES GROUP, INC.

G-2 TRADING,LLC

MAXIM GROUP LLC

REVERE SECURITIES LLC

NEWPORT COAST SECURITIES, INC.

NEW VERNON SECURITIES, LLC

EMPIRE FINANCIAL GROUP, INC.

NEWOAK CAPITAL MARKETS LLC

MAXIM GROUP LLC

J.P. MATRIX PARTNERS L.L.C

WM. V. FRANKEL & CO., INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 3/17/2003

SIE

Date: 10/1/2018

Series 55

Date: 4/1/2000

Series 7

Date: 9/6/1994

Series 24

Date: 8/31/2000

FINRA

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CEROS FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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