FG
Frank C. Galdieri
SPC
Sarasota, FL
Some features on this profile are disabled
CRD#: 1726888
FG
Professional summary
Frank Charles Galdieri, who also goes by Frank C Galdieri, Frank Charles Galdieri, is a registered financial advisor currently at SPC located in Sarasota, Florida and SIGMA FINANCIAL CORPORATION located in Siesta Key, Florida.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Frank has worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 3, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank C Galdieri | Frank Charles Galdieri
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
As an independently licensed insurance agent, I am appointed with various insurance companies. DBA - Sarasota Frank Wealth Management, LLC, Sarasota, FL. Sole proprietor and sole member for use with my financial planning, advisory and brokerage business with clients. Start date: 5/20/22, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view Frank Charles Galdieri's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 14, 2022 - Present
SPC
RIA
CRD#: 110692
Sarasota, FL
Current
February 14, 2022 - Present
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
Siesta Key, FL
Past
April 7, 2016 - September 25, 2020
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
FORT MYERS, FL
Past
October 6, 2014 - September 25, 2020
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
FORT MYERS, FL
Past
June 14, 2011 - August 26, 2014
MORGAN STANLEY
RIA
CRD#: 149777
SARASOTA, FL
Past
June 14, 2011 - August 26, 2014
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
January 28, 2010 - April 26, 2011
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 131631
MIAMI, FL
Past
January 28, 2010 - April 26, 2011
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
CHARLOTTE, NC
Past
September 23, 2004 - June 25, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
August 20, 2004 - June 25, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MANALAPAN, NJ
Past
August 3, 1998 - September 2, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 7, 1994 - August 6, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 21, 1991 - March 17, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(3/3/2022)
IAR
Florida(3/14/2022)
RR
New Jersey(3/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/1/1999
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
