Frank L. Giacchetto
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 Liborio Giacchetto was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1970. Frank had worked at 17 firms and has passed the Series 63, SIE, Series 55, PC, Series 1, Series 53, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2001 - December 31, 2017
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 26, 1999 - May 30, 2001
CLARK STREET CAPITAL, INC.
February 23, 1999 - September 15, 1999
HAMERSHLAG, DODELES & CO., LLC
June 7, 1995 - January 12, 1999
BROADPOINT DESCAP
November 22, 1994 - June 8, 1995
FIRST UNITED EQUITIES CORPORATION
June 28, 1994 - December 5, 1994
BROADPOINT DESCAP
June 7, 1994 - July 21, 1994
HORNBLOWER & WEEKS, INC.
April 6, 1993 - June 6, 1994
GOLDIS FINANCIAL GROUP, INC.
October 29, 1992 - December 23, 1992
ROCKWELL SECURITIES CORPORATION
February 7, 1991 - April 7, 1993
BROADPOINT DESCAP
June 5, 1989 - January 23, 1991
J. GREGORY & COMPANY, INC.
May 27, 1988 - May 16, 1989
INDIVIDUAL'S SECURITIES LTD.
October 25, 1979 - April 24, 1989
ODD LOTS SECURITIES LTD
July 8, 1977 - August 25, 1978
WILLIS E. BURNSIDE & CO., INC.
January 7, 1977 - March 9, 1978
OCCIDENTAL SECURITIES CORP.
March 10, 1976 - December 1, 1976
STEVENS, ROTHCHILD & CO., INC.
September 30, 1975 - March 10, 1976
STEVENS ROTHCHILD & COMPANY
May 16, 1974 - January 20, 1975
BLINDER, ROBINSON & CO., INC.
March 12, 1970 - May 1, 1974
PARK SECURITIES 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: 3/27/2000
Limited Representative-Equity Trader ExamPC
Date: 6/2/1992
AMEX Put and Call ExamSeries 1
Date: 3/6/1970
Registered Representative ExaminationSeries 00
Date: 4/13/1972
General Securities Principal ExaminationCurrent Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
