Franco P. Dortona
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.
Franco Peter Dortona, who also goes by Frank Dortona, was a registered financial professional .
Franco is a previously registered financial professional and started their career in finance in 1992. Franco had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 1999 - October 25, 1999
SEABOARD SECURITIES, INC.
May 1, 1998 - October 29, 1998
GUNNALLEN FINANCIAL, INC
January 14, 1998 - March 17, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
October 29, 1997 - December 31, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
November 15, 1996 - October 10, 1997
MEYERS POLLOCK ROBBINS, INC.
May 16, 1996 - September 10, 1996
MATRIX SECURITIES CORPORATION
November 27, 1995 - March 26, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
June 5, 1995 - September 25, 1995
STATE CAPITAL MARKETS CORPORATION
May 12, 1992 - December 10, 1993
ROBERT TODD FINANCIAL CORP.
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
SEABOARD SECURITIES, INC.
CRD#: 755 / SEC#: , 8-44373
Contact information
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 8 |
| Bond | 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.
