Frank A. Germana
Professional summary
Frank Anthony Germana JR, who also goes by Frank A Germana, Frank Germana, is a registered financial advisor currently at BNY ADVISORS located in Pennington, New Jersey.
Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Frank has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 27, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frank Anthony Germana JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2019 - Present
BNY ADVISORS
Office #1: 1800 American Blvd. Suite 300 - Pod D, Pennington, NJ 08534October 8, 2019 - December 20, 2024
PERSHING LLC
January 19, 2018 - May 4, 2018
VICUS CAPITAL, INC.
September 15, 2005 - September 18, 2018
J.P. MORGAN INVESTMENT MANAGEMENT INC.
July 21, 2005 - December 20, 2017
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 15, 2003 - June 21, 2005
PERSHING LLC
August 27, 2001 - December 9, 2003
EMAT SECURITIES, INC.
January 4, 2001 - May 18, 2001
EMAT SECURITIES, INC.
September 29, 2000 - June 21, 2005
BNY ADVISORS
October 22, 1997 - June 21, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
November 15, 1995 - September 30, 1997
VALLEY FORGE ASSET MANAGEMENT, LLC
August 23, 1995 - October 17, 1995
TRADESTAR INVESTMENTS,INC.
August 1, 1991 - August 23, 1995
PNC CAPITAL MARKETS LLC
April 26, 1990 - August 1, 1991
TRADE$AVER INC.
August 18, 1988 - December 7, 1989
SECURITY FINANCIAL NETWORK, LLC
Primary Firm SEC Registration
BNY ADVISORS
CRD#: 106108 / SEC#: 801-52378
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
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Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
BNY ADVISORS
CRD#: 106108 / SEC#: 801-52378
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 122,578 |
| AUM (Assets Under Management) | $ 23,959,697,127 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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
BNY ADVISORS
CRD#: 106108Pennington, NJ 08534TRUST BUT VERIFY
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