Frank J. Rosso
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 Jeremick Rosso, who also goes by Frank J Rosso, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1987. Frank had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 1996 - February 5, 1997
JWGENESIS SECURITIES, INC.
April 18, 1995 - June 13, 1996
MORGAN STANLEY DW INC.
September 27, 1994 - March 31, 1995
GRUNTAL & CO., L.L.C.
March 15, 1994 - September 16, 1994
D. BLECH & COMPANY, INCORPORATED
July 14, 1992 - February 1, 1994
TUSCANY EQUITY MANAGEMENT CORPORATI0N
February 24, 1987 - July 29, 1992
J. W. GANT & ASSOCIATES, 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
JWGENESIS SECURITIES, INC.
CRD#: 33832 / SEC#: , 8-46367
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
| Arbitration | 8 |
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.
