Frank N. Rossani
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 Nicholas Rossani was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1995. Frank had worked at 9 firms and has passed the Series 63, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2002 - May 7, 2004
LEGEND SECURITIES, INC.
August 18, 2000 - September 8, 2000
GRAYSON FINANCIAL LLC
December 17, 1997 - October 5, 1998
H.J. MEYERS & CO., INC.
November 3, 1997 - December 10, 1997
LT LAWRENCE & CO., INC.
August 12, 1997 - October 20, 1997
BROWNSTONE CAPITAL CORP.
January 22, 1997 - June 3, 1997
LLOYD WADE SECURITIES INC.
October 2, 1995 - February 1, 1996
LCP CAPITAL CORP.
June 2, 1995 - September 18, 1995
BARRON CHASE SECURITIES, INC.
May 2, 1995 - June 5, 1995
EURO-ATLANTIC 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 62
Date: 5/1/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
