Salvatore J. Frega
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.
Salvatore John Frega JR, who also goes by Sal J Frega, was a registered financial professional .
Salvatore is a previously registered financial professional and started their career in finance in 1993. Salvatore had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3 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
September 10, 2014 - June 8, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 4, 2011 - September 9, 2014
THE LEADERS GROUP, INC.
July 14, 2009 - September 23, 2009
EQUITABLE ADVISORS, LLC
June 8, 2007 - September 17, 2007
CHASE INVESTMENT SERVICES CORP.
June 8, 2007 - September 17, 2007
CHASE INVESTMENT SERVICES CORP.
August 1, 2006 - May 21, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 28, 2006 - May 21, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 28, 2006 - July 31, 2006
CITICORP INVESTMENT SERVICES
April 10, 2000 - July 31, 2006
CITICORP INVESTMENT SERVICES
September 18, 1996 - April 25, 2000
CHASE INVESTMENT SERVICES CORP.
August 10, 1995 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
April 7, 1995 - August 18, 1995
ROBERT W. BAIRD & CO. INCORPORATED
April 7, 1995 - August 18, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 23, 1994 - November 11, 1994
FRIEDBERG MERCANTILE GROUP, INC.
March 5, 1993 - August 17, 1994
CITIGROUP GLOBAL MARKETS 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
