Frances P. Lupiani
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.
Frances P Lupiani, who also goes by Fran Lupiani, Frances J Polozzi, was a registered financial professional .
Frances is a previously registered financial professional and started their career in finance in 1992. Frances had worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2021 - December 31, 2024
CAPITAL ANALYSTS
March 25, 2021 - December 31, 2024
LINCOLN INVESTMENT
November 9, 2015 - December 31, 2024
LINCOLN INVESTMENT
July 2, 2014 - November 12, 2015
MML INVESTORS SERVICES, LLC
February 1, 2012 - June 24, 2014
LIFEMARK SECURITIES CORP.
August 23, 2001 - January 31, 2012
ALLSTATE FINANCIAL SERVICES, LLC
September 17, 1999 - August 27, 2001
LIFEMARK SECURITIES CORP.
March 22, 1999 - September 22, 1999
HORNOR, TOWNSEND & KENT, LLC
October 15, 1993 - August 9, 1996
VOYA FINANCIAL PARTNERS, LLC
January 11, 1993 - September 11, 1997
NATHAN & LEWIS SECURITIES, INC.
October 30, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 1, 1992 - October 16, 1992
METROPOLITAN LIFE INSURANCE COMPANY
May 1, 1992 - October 16, 1992
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
