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Gary R. Defranco

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CRD#: 1737754
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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.

Gary Robert Defranco, who also goes by Gary Defranco, was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1993. Gary had worked at 9 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gary Defranco

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 29, 2010 - February 28, 2014

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
ROCHELLE, NJ
Past

November 4, 2009 - February 28, 2014

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
ROCHELLE, NJ
Past

October 22, 2009 - June 8, 2010

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
ROCHELLE, NJ
Past

March 15, 2007 - December 13, 2007

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
PARAMUS, NJ
Past

March 15, 2007 - December 13, 2007

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
PARAMUS, NJ
Past

June 20, 2006 - February 10, 2007

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
WYCKOFF, NJ
Past

June 16, 2006 - February 10, 2007

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
WYCKOFF, NJ
Past

June 1, 2004 - June 30, 2004

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

December 2, 2002 - March 19, 2003

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

November 9, 2000 - July 24, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 29, 1993 - April 7, 1999

GARBAN CAPITAL MARKETS LLC

BD
CRD#: 19738
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/1/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/2000
General Securities Representative Examination

Current Firm

EN
ESSEX NATIONAL SECURITIES, LLC
ESSEX NATIONAL SECURITIES, INC. | ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454 / SEC#: 801-70990, 8-41750

BD
Terminated by SEC on 09/13/2016
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Contact information

Main Address
550 Gateway Drive Suite 210, Napa, CA 94558
Mailing Address
Phone number
Established
Delaware since 06/27/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ESSEX NATIONAL HOLDING COMPANY, LLCOWNER
AMARANTE, STEPHEN PAULCHAIRMAN OF BOARD OF DIRECTORS3165067
COONEY, JOHN MICHAELCOO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP1326757
CUMMINGS, WILLIAM FRANCISDIRECTOR4761165
DAVIS, SCOTT KELSOPRESIDENT, CEO, DIRECTOR1252573

Disclosures

Regulatory Event5

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.

Company Information

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

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