Frank V. Ferrara
Professional summary
Frank Vincent Ferrara is a registered financial professional currently at DRIVEWEALTH, LLC located in New York, New York.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1995. Frank has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Vincent Ferrara's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2021 - Present
DRIVEWEALTH, LLC
Office #1: 28 Liberty Street 50th Floor, New York, NY, 10005January 2, 2020 - April 26, 2021
MURIEL SIEBERT & CO., LLC
October 18, 2018 - January 30, 2020
STOCKCROSS FINANCIAL SERVICES, INC.
September 14, 2016 - July 12, 2017
STERNE, AGEE & LEACH, INC.
November 6, 2015 - September 22, 2017
STONEX FINANCIAL INC.
January 17, 2012 - February 27, 2015
VIRTU ITG LLC
October 19, 2010 - April 7, 2011
VELOCITY CLEARING, LLC
June 14, 2007 - October 20, 2008
NATIONAL BANK OF CANADA FINANCIAL INC.
November 30, 1999 - October 16, 2006
COMMERZBANK CAPITAL MARKETS CORP.
July 1, 1998 - November 13, 1998
ABN AMRO SECURITIES LLC
December 19, 1995 - July 1, 1998
ING BARING (U.S.) SECURITIES, 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
(6/25/2021)
(3/19/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
DRIVEWEALTH, LLC
CRD#: 165429 / SEC#: , 8-69161
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS, INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | COO | 2262100 |
| LAMKE, JAMES DANIEL | CHIEF COMPLIANCE OFFICER | 1418047 |
| PALAPARTHI, VENU MADHAV | CHIEF EXECUTIVE OFFICER | 2437777 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
Disclosures
| Regulatory Event | 1 |
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.
