Frank D. Terzo
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 David Terzo was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1988. Frank had worked at 12 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2020 - September 1, 2026
DAWSON JAMES SECURITIES, INC.
July 24, 2000 - August 7, 2001
THE THORNWATER COMPANY, L.P.
June 12, 1997 - December 8, 1998
THE THORNWATER COMPANY, L.P.
May 11, 1995 - June 18, 1996
JWGENESIS SECURITIES, INC.
December 8, 1994 - April 21, 1995
RICKEL & ASSOCIATES, INC.
May 20, 1994 - October 26, 1994
D. BLECH & COMPANY, INCORPORATED
July 9, 1992 - March 28, 1994
BARINGTON CAPITAL GROUP, L.P.
November 29, 1991 - July 7, 1992
THE STAMFORD COMPANY, INC.
August 21, 1991 - October 30, 1991
LCP CAPITAL CORP.
June 11, 1991 - July 23, 1991
PARAGON CAPITAL MARKETS, INC.
March 20, 1991 - June 12, 1991
RODMAN & RENSHAW INC.
September 11, 1989 - February 28, 1991
D. H. BLAIR & CO., INC.
November 23, 1988 - August 23, 1989
COMMONWEALTH ASSOCIATES
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
What does exam status mean?
Series 79TO
Passed: 11/29/2021
Investment Banking Registered Representative ExaminationSeries 7TO
Passed: 9/11/2020
General Securities Representative ExaminationCurrent Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
