Frank J. Cannarozzo
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 John Cannarozzo was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1999. Frank had worked at 6 firms and has passed the Series 7A exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2010 - September 10, 2012
DME SECURITIES, LLC
March 27, 2009 - February 23, 2010
KABRIK TRADING LLC
July 22, 2004 - June 14, 2010
HALCYON CABOT PARTNERS, LTD.
April 6, 2004 - August 3, 2004
FRANK J. CANNAROZZO, SOLE PROPRIETOR
July 1, 2003 - March 30, 2004
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7A
Date: 4/30/2003
Floor Broker Representative ExamCurrent Firm
DME SECURITIES, LLC
CRD#: 112584 / SEC#: , 8-53280
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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