Frank A. Fucarino
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 Anthony Fucarino, who also goes by Frank A Fucarino, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1989. Frank had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2017 - December 19, 2018
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
May 24, 2004 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
April 19, 1996 - April 30, 2004
VOYA FINANCIAL ADVISORS, INC.
February 28, 1995 - April 15, 1996
USLIFE EQUITY SALES CORP.
February 4, 1994 - July 11, 1994
FORESTERS FINANCIAL SERVICES, INC.
April 1, 1991 - September 24, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 1, 1991 - September 24, 1993
PRUCO SECURITIES, LLC.
August 17, 1990 - February 14, 1991
NYLIFE SECURITIES LLC
June 20, 1989 - September 19, 1989
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
