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Frank E. Calvaruso

Some features on this profile are disabled
CRD#: 1873578
FC

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 Edward Calvaruso, who also goes by Cal Calvaruso, Frank E Calvaruso, was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1990. Frank had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cal Calvaruso | Frank E Calvaruso

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 6, 2018 - June 24, 2020

ALT FUND DISTRIBUTORS LLC

BD
CRD#: 146547
NEW YORK, NY
Past

September 6, 2005 - May 29, 2018

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
LISLE, IL
Past

October 22, 2003 - August 8, 2005

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

February 21, 2001 - July 30, 2003

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

May 12, 1997 - September 18, 2000

GE INVESTMENT DISTRIBUTORS, INC

BD
CRD#: 32087
STAMFORD, CT
Past

July 29, 1996 - May 5, 1997

LIEBER & COMPANY

BD
CRD#: 4163
WHITE PLAINS, NY
Past

July 21, 1995 - October 14, 1996

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

December 10, 1993 - July 5, 1995

ROYAL PALM CAPITAL, INC.

BD
CRD#: 21969
PALM BEACH, FL
Past

July 31, 1993 - November 18, 1993

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 1, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 1, 1991 - July 1, 1992

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

May 16, 1991 - August 1, 1991

PAMCO SECURITIES AND INSURANCE SERVICES

BD
CRD#: 11028
Past

January 26, 1990 - August 8, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

January 26, 1990 - August 8, 1990

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/3/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/25/1990
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AF
ALT FUND DISTRIBUTORS LLC
ALT FUND DISTRIBUTORS LLC | CATALYST MUTUALS FUND DISTRIBUTORS LLC | CAPITAL REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES LLC

CRD#: 146547 / SEC#: , 8-67829

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
140 East 45th Street Suite 19 B, New York, NY 10017
Mailing Address
140 East 45th Street Suite 19 B, New York, NY 10017
Phone number
(646) 757-8062
Established
Colorado since 12/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MFUND DISTRIBUTORS LLCOWNER
MEEHAN, KEVIN PATRICKCCO, FINOP4652695
MILDER, LARRY IRWINCEO1306646

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

ALT FUND DISTRIBUTORS LLC

CRD#: 146547

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