Frank N. Mangiafico
Professional summary
Frank N. Mangiafico, who also goes by Frank N Mangiafico, is a registered financial professional currently at PERSHING LLC located in Jersey City, New Jersey and PERSHING ADVISOR SOLUTIONS LLC located in Jersey City, New Jersey.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1989. Frank has worked at 7 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 4, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank N. Mangiafico's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 3, 2015 - Present
PERSHING LLC
Office #1: One Pershing Plaza - Jersey City Osj, Jersey City, NJ 07399November 24, 2021 - Present
PERSHING ADVISOR SOLUTIONS LLC
Office #1: One Pershing Plaza Pas Jersey City Osj, Jersey City, NJ 07399January 12, 2015 - September 11, 2015
COWEN EXECUTION SERVICES LLC
April 12, 2010 - August 5, 2014
CREDIT SUISSE SECURITIES (USA) LLC
July 5, 2007 - April 1, 2010
PERSHING LLC
June 6, 2005 - June 28, 2007
ELECTRONIC SECURITIES PROCESSING (ESP) LLC
August 11, 2004 - October 6, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2003 - October 6, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 1989 - October 6, 2004
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/3/2015)
(9/3/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationBOX Exchange LLC
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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