Frank A. Matarese
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 A Matarese, who also goes by Frank Anthony Matarese, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1991. Frank had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2007 - December 17, 2012
CHARLES RIVER BROKERAGE, LLC
April 20, 2000 - April 18, 2001
INSTINET.COM CORPORATION
September 24, 1999 - July 27, 2000
REUTERS C CORPORATION
November 13, 1996 - August 16, 1999
FURTHER LANE SECURITIES, L.P.
February 17, 1995 - November 4, 1996
NEBRASKA HUDSON COMPANY, INC.
May 18, 1992 - December 22, 1994
CHARLES SCHWAB & CO., INC.
July 24, 1991 - October 9, 1991
HIBBARD BROWN & CO., 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
CHARLES RIVER BROKERAGE, LLC
CRD#: 132267 / SEC#: , 8-66578
Contact information
FINRA licenses (18 States and Territories)
Documents
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.
