Frank C. Lettera
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 Charles Lettera, who also goes by Frank Lettera, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1987. Frank had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2011 - December 31, 2017
THE WINDMILL GROUP, INC.
July 29, 2008 - March 11, 2011
KEY INVESTMENT SERVICES LLC
October 4, 2007 - July 24, 2008
VANDERBILT SECURITIES, LLC
June 27, 2006 - November 2, 2007
HSBC SECURITIES (USA) INC.
January 1, 2005 - November 2, 2007
HSBC SECURITIES (USA) INC.
August 12, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
November 3, 1997 - August 12, 2004
CHASE INVESTMENT SERVICES CORP.
September 18, 1996 - August 12, 2004
CHASE INVESTMENT SERVICES CORP.
January 26, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
January 16, 1996 - January 29, 1996
OSAIC WEALTH, INC.
August 1, 1994 - January 24, 1996
CHEMICAL INVESTMENT SERVICES CORP.
July 28, 1993 - August 1, 1994
IFMG SECURITIES, INC.
May 14, 1992 - July 30, 1993
FISCO EQUITY, INC.
March 23, 1987 - October 29, 1990
PRUCO SECURITIES, LLC.
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
THE WINDMILL GROUP, INC.
CRD#: 8384 / SEC#: 801-120154, 8-25280
Contact information
Regulatory assets under management
| Total Number of Accounts | 198 |
| AUM (Assets Under Management) | $ 32,101,709 |
Disclosures
| Regulatory Event | 3 |
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.
