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Joseph Anthony Frisone

CRD# 2145862·Registered 1991 - 2012
Previously Registered: Being a previously registered professional could mean that Joseph 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.

Professional Summary

Joseph Anthony Frisone, who also goes by Joseph A Frisone, was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1991 - 2012. Joseph had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Joseph A Frisone

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

ACF INTERNATIONAL INC.·CRD# 36151
BD
New York, NY
April 29, 2011 - June 20, 2012
CIC MARKET SOLUTIONS, INC.·CRD# 47069
BD
New York, NY
May 5, 2009 - February 24, 2010
KAUPTHING SECURITIES, INC.·CRD# 104429
BD
New York City, NY
September 10, 2007 - October 21, 2008
INTESA SANPAOLO IMI SECURITIES CORP.·CRD# 19418
BD
New York, NY
May 20, 2004 - September 7, 2007
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
November 28, 1997 - April 14, 2003
SALOMON BROTHERS INC.·CRD# 740
BD
New York, NY
March 24, 1995 - September 1, 1998
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
October 21, 1991 - March 14, 1995
SWISS AMERICAN SECURITIES INC.·CRD# 7973
BD
New York, NY
July 31, 1991 - October 24, 1991

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Current Firm

AI
ACF INTERNATIONAL INC.

ACF INTERNATIONAL INC. | MAXWELL ESPINOSA INC. | HHH CORPORATION

CRD#: 36151 / SEC#: 8-47032
BD
Terminated by SEC on 08/04/2017

Contact Information

Established

Massachusetts since 02/11/1994

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
AHORRO CORPORACION FINANCIERASOLE SHAREHOLDER—
CUGLIARI, GREGORY ANTHONYFINOP4135300
DELSOL, CRISTINAPRESIDENT, CEO, CCO, DIRECTOR OF THE BOARD2651328
GUITERAS, ANDRESDIRECTOR6580020
RIVILLA, BLANCACHAIRMAN6580017

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1991About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 1991About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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