Frank V. Colombo
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 Victor Colombo was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1987. Frank had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 16 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2021 - June 15, 2026
BRADLEY WOODS & CO. LTD.
April 4, 2002 - July 28, 2003
SEAPORT GLOBAL SECURITIES LLC
May 1, 2001 - April 4, 2002
IPO.COM SECURITIES, INC.
June 29, 1998 - November 10, 1999
UBS SECURITIES LLC
April 29, 1987 - June 29, 1998
SBC WARBURG DILLON READ 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 79TO
Date: 3/15/2021
Investment Banking Registered Representative ExaminationCurrent Firm
BRADLEY WOODS & CO. LTD.
CRD#: 13660 / SEC#: , 8-28862
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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