Frank J. Barone
Professional summary
Frank John Barone JR, who also goes by Frank John Barone, is a registered financial professional currently at LIQUIDNET, INC. located in New York, New York.
Frank is registered as a RR (Registered Representative) and started their career in finance in 2002. Frank has 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) - BD
Click below to view Frank John Barone JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 19, 2018 - Present
LIQUIDNET, INC.
Office #1: 200 Vesey Street 5th Floor, New York, NY 10281Office #2: 200 Vesey Street 5th Floor, New York, NY 10281August 3, 2011 - February 20, 2018
RBC CAPITAL MARKETS, LLC
February 2, 2011 - April 4, 2011
IVY SECURITIES, INC.
May 21, 2007 - December 8, 2010
JEFFERIES LLC
April 3, 2006 - May 3, 2007
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
June 6, 2002 - March 23, 2006
PRUDENTIAL EQUITY GROUP, LLC
May 1, 2002 - May 8, 2002
ABN AMRO INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/2/2018)
(6/21/2018)
(6/27/2018)
(6/27/2018)
(6/28/2018)
(6/25/2018)
(6/20/2018)
(6/21/2018)
(6/26/2018)
(6/19/2018)
(7/15/2019)
(6/20/2018)
(6/28/2018)
(6/25/2018)
Exams
FINRA
Nasdaq Stock Market
Current Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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