Frank C. Ferraro
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 Christopher Ferraro, who also goes by Frank Christofer Ferraro, 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 63, SIE, Series 55, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2014 - August 12, 2015
HALCYON CABOT PARTNERS, LTD.
February 9, 2011 - November 9, 2012
SPENCER EDWARDS, INC.
July 27, 2009 - November 25, 2009
CAPITAL PATH SECURITIES, LLC
April 20, 2005 - February 22, 2008
S.G. MARTIN SECURITIES LLC
January 16, 1996 - May 23, 2003
CHURCH STREET SECURITIES CORP.
November 26, 1993 - May 23, 2003
CASTLE SECURITIES CORP.
September 29, 1993 - November 29, 1993
ISLAND SECURITIES, INC.
January 13, 1993 - March 18, 1993
WALL STREET ACCESS
January 30, 1990 - December 31, 1991
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 18, 1989 - January 1, 1990
METROPOLITAN LIFE INSURANCE COMPANY
July 18, 1989 - January 1, 1990
MSI FINANCIAL SERVICES, INC.
October 13, 1988 - June 21, 1989
WELLSHIRE SECURITIES, INC.
July 15, 1988 - September 9, 1988
KENNEDY, CABOT & CO.
March 18, 1987 - August 8, 1988
MOSTEL & TAYLOR SECURITIES INC.
November 18, 1986 - March 3, 1987
OMNI MUTUAL, 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 55
Date: 3/25/1999
Limited Representative-Equity Trader ExamCurrent Firm
HALCYON CABOT PARTNERS, LTD.
CRD#: 32664 / SEC#: , 8-28702
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
| 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.
