John D. Frankola

VISTA INVESTMENT MANAGEMENT

Pittsburgh, PA 15235-5610

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CRD#: 1793125

Professional summary

John Daniel Frankola is a registered financial advisor currently at VISTA INVESTMENT MANAGEMENT, LLC located in Pittsburgh, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. John has worked at 2 firms and has passed the Series 65, Series 63, Series 16, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view John Daniel Frankola's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 13, 2003 - Present

VISTA INVESTMENT MANAGEMENT, LLC

Office #1: 400 Penn Center Blvd., Suite 555, Pittsburgh, PA 15235-5610

RIA

CRD#: 116068

Pittsburgh, PA

Past

February 23, 1988 - August 14, 2001

PARKER/HUNTER INCORPORATED

CRD#: 7324

PITTSBURGH, PA

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".

VISTA INVESTMENT MANAGEMENT, LLC

JOHN D. FRANKOLA | VISTA INVESTMENT MANAGEMENT, LLC

CRD#: 116068 / SEC#: 801-112652

RIA

Registered Investment Advisory firm - (3/16/2018 Approved)

California

Registered Investment Advisory firm - (5/23/2018 Terminated)

Florida

Registered Investment Advisory firm - (4/23/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/24/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(5/9/2012)

IAR

Florida
(7/10/2012)

IAR

Louisiana
(4/3/2020)

IAR

North Carolina
(4/1/2020)

IAR

Pennsylvania
(1/13/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/31/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 16

Date: 8/31/1992

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/18/1996

General Securities Principal Examination

Current Firm

VISTA INVESTMENT MANAGEMENT, LLC

JOHN D. FRANKOLA | VISTA INVESTMENT MANAGEMENT, LLC

CRD#: 116068 / SEC#: 801-112652

RIA

Registered Investment Advisory firm - (3/16/2018 Approved)

California

Registered Investment Advisory firm - (5/23/2018 Terminated)

Florida

Registered Investment Advisory firm - (4/23/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/24/2018 Terminated)

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Contact information

Main Address

400 Penn Center Blvd., Suite 555, Pittsburgh, PA 15235-5610

Mailing Address

Phone number

(412) 824-5940

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts	530
AUM (Assets Under Management)	$ 286,317,129

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.

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Firm Stability Insights

John D. Frankola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Daniel Frankola's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARKER/HUNTER INCORPORATED

Primary Firm SEC Registration

VISTA INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/1992

Series 63

Date: 4/28/1988

Series 16

Date: 8/31/1992

Series 7

Date: 2/20/1988

Series 24

Date: 9/18/1996

Current Firm

VISTA INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VISTA INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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