Frank P. Buckley
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 Patrick Buckley was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1995. Frank had worked at 8 firms and has passed the Series 63, Series 55, Series 31 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
April 8, 2011 - March 21, 2012
AVATAR SECURITIES, LLC
June 26, 2007 - April 26, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
July 19, 2006 - January 26, 2007
SCHOTTENFELD GROUP LLC
March 1, 2006 - July 18, 2006
TAFFERER TRADING, LLC
September 28, 1998 - March 16, 2004
SCHONFELD SECURITIES, LLC
May 5, 1997 - September 24, 1998
LOMBARD SECURITIES INCORPORATED
October 21, 1996 - May 14, 1997
GRUNTAL & CO., L.L.C.
July 31, 1995 - October 2, 1996
MORGAN STANLEY DW INC.
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
Series 55
Date: 1/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 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.
