Frank M. Albi
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 Mario Albi, who also goes by Frank M Albi, Frank Albi, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1992. Frank had worked at 10 firms and has passed the Series 63, Series 55, 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
July 3, 2013 - February 12, 2014
BUCKMAN, BUCKMAN & REID, INC.
September 1, 2005 - September 21, 2010
HUDSON SECURITIES,INC.
December 16, 2002 - November 13, 2003
HILL THOMPSON MAGID & CO., INC.
May 16, 1998 - October 29, 2001
CROWN FINANCIAL GROUP, INC.
May 2, 1997 - April 21, 1998
LEGEND MERCHANT GROUP, INC.
January 6, 1997 - April 9, 1997
WINDSOR STREET CAPITAL, LP
July 11, 1995 - November 4, 1996
DICKINSON & CO.
March 30, 1994 - December 23, 1994
HORNBLOWER & WEEKS, INC.
March 24, 1993 - April 7, 1994
CAMELOT INVESTMENT CORP.
June 9, 1992 - March 18, 1993
BERKELEY SECURITIES CORPORATION
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: 8/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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.
