Frank Ferrante
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 Ferrante, who also goes by Frank Leonard Ferrante, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1991. Frank had worked at 15 firms and has passed the Series 63, SIE, Series 55, Series 7 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
February 8, 2018 - March 8, 2018
DAVID LERNER ASSOCIATES, INC.
November 7, 2014 - June 27, 2017
T3 TRADING GROUP, LLC
January 30, 2014 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
October 18, 2012 - September 6, 2013
ECHOTRADE LLC
August 6, 2012 - September 28, 2012
BUCKMAN, BUCKMAN & REID, INC.
November 29, 2011 - August 8, 2012
CANTOR FITZGERALD & CO.
May 27, 2011 - November 30, 2011
RODMAN & RENSHAW, LLC
October 14, 2010 - May 27, 2011
HUDSON SECURITIES,INC.
June 2, 2008 - January 25, 2010
SETON SECURITIES GROUP, INC.
May 31, 2006 - June 9, 2008
HUDSON SECURITIES,INC.
March 21, 2005 - May 23, 2006
MAXIM GROUP LLC
November 25, 2002 - March 21, 2005
BROKERAGEAMERICA, LLC
May 15, 2000 - March 17, 2003
UBS CAPITAL MARKETS L.P.
December 14, 1998 - April 17, 2000
HUDSON SECURITIES,INC.
July 1, 1994 - December 31, 1997
FIRST MONTAUK SECURITIES CORP.
August 5, 1992 - June 27, 1994
REICH & CO., INC.
May 10, 1991 - August 11, 1992
FIRST INTERREGIONAL EQUITY CORP.
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: 3/30/1999
Limited Representative-Equity Trader ExamCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
