Frank A. Bua
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 Bua was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1990. Frank had worked at 8 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
June 24, 2013 - October 28, 2015
NATIONAL SECURITIES CORPORATION
December 8, 2008 - April 11, 2013
NEWPORT COAST SECURITIES, INC.
November 19, 2008 - December 22, 2008
EMPIRE FINANCIAL GROUP, INC.
July 12, 2000 - October 27, 2008
BASIC INVESTORS INC.
April 30, 1997 - July 10, 2000
INSTITUTIONAL EQUITY CORPORATION
November 14, 1994 - April 1, 1997
GOLDIS FINANCIAL GROUP, INC.
July 29, 1991 - December 8, 1994
CONTINENTAL BROKER-DEALER CORP.
April 24, 1990 - July 30, 1991
STRATTON OAKMONT 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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
