FZ
Franco V. Zappone
THINKEQUITY LLC
Fort Lauderdale, FL 33301
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CRD#: 1864009
FZ
Professional summary
Franco Vincent Zappone, who also goes by Franco V Zappone, Franco Zappone, is a registered financial professional currently at THINKEQUITY LLC located in Fort Lauderdale, Florida.
Franco is registered as a RR (Registered Representative) and started their career in finance in 1988. Franco has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Franco V Zappone | Franco Zappone
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.
CRS (Client Relationship Summary) - BD
Click below to view Franco Vincent Zappone's 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®
NoneExperience
Current
February 12, 2026 - Present
THINKEQUITY LLC
Office #1: 501 East Las Olas Boulevard Suite 200 & 300, Fort Lauderdale, FL 33301BD
CRD#: 20996
Fort Lauderdale, FL
Past
October 23, 2002 - September 26, 2024
MAXIM GROUP LLC
BD
CRD#: 120708
Ft Lauderdale, FL
Past
December 18, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
July 30, 1997 - December 18, 2000
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
July 20, 1992 - August 19, 1997
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
July 31, 1991 - July 21, 1992
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
February 5, 1990 - September 5, 1991
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
Past
October 19, 1989 - December 21, 1989
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
August 23, 1988 - September 5, 1991
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/25/2026)
RR
Arizona(2/27/2026)
RR
Arkansas(2/24/2026)
RR
California(2/12/2026)
RR
Colorado(2/25/2026)
RR
Connecticut(2/24/2026)
RR
Delaware(2/24/2026)
RR
District of Columbia(3/3/2026)
RR
Florida(2/23/2026)
RR
Georgia(2/13/2026)
RR
Hawaii(3/3/2026)
RR
Idaho(2/12/2026)
RR
Illinois(2/27/2026)
RR
Indiana(2/24/2026)
RR
Iowa(2/24/2026)
RR
Kansas(2/24/2026)
RR
Kentucky(2/24/2026)
RR
Louisiana(2/23/2026)
RR
Maine(2/24/2026)
RR
Maryland(2/26/2026)
RR
Massachusetts(2/13/2026)
RR
Michigan(2/24/2026)
RR
Minnesota(2/23/2026)
RR
Mississippi(2/23/2026)
RR
Missouri(2/13/2026)
RR
Nebraska(2/12/2026)
RR
Nevada(2/24/2026)
RR
New Hampshire(2/24/2026)
RR
New Jersey(2/24/2026)
RR
New Mexico(2/25/2026)
RR
New York(2/24/2026)
RR
North Carolina(3/4/2026)
RR
North Dakota(2/24/2026)
RR
Ohio(2/12/2026)
RR
Oklahoma(2/24/2026)
RR
Oregon(2/24/2026)
RR
Pennsylvania(2/17/2026)
RR
Rhode Island(2/25/2026)
RR
South Carolina(2/27/2026)
RR
South Dakota(2/23/2026)
RR
Tennessee(2/27/2026)
RR
Texas(2/16/2026)
RR
Utah(2/12/2026)
RR
Vermont(2/24/2026)
RR
Virgin Islands(2/24/2026)
RR
Virginia(2/25/2026)
RR
Washington(2/23/2026)
RR
West Virginia(2/25/2026)
RR
Wisconsin(2/12/2026)
RR
Wyoming(2/24/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/23/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/24/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TL
THINKEQUITY LLC
FORDHAM FINANCIAL MANAGEMENT, INC. | THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
17 State Street 41st Floor, New York, NY, 10004
Mailing Address
17 State Street 41st Floor, New York, NY, 10004
Phone number
(212) 732-8500
Established
Delaware since 08/13/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| NASH, KELLY | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 3017718 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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
THINKEQUITY LLC
CRD#: 20996Fort Lauderdale, FL 33301TRUST BUT VERIFY
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