FM
Frank A. Massa
EQUITABLE ADVISORS
New York, NY 10105
Some features on this profile are disabled
CRD#: 2241858
FM
Professional summary
Frank Angelo Massa JR, who also goes by Frank Massa, is a registered financial professional currently at EQUITABLE ADVISORS, LLC located in New York, New York and STIFEL INDEPENDENT ADVISORS, LLC located in St. Louis, Missouri.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1992. Frank has worked at 9 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frank Massa
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Frank Angelo Massa JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 18, 1997 - Present
EQUITABLE ADVISORS, LLC
Office #1: 1345 Avenue Of The Americas, New York, NY 10105RIA
BD
CRD#: 6627
New York, NY
Current
February 20, 2026 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: One Financial Plaza 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
ST. LOUIS, MO
Past
September 13, 2004 - March 3, 2006
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
July 10, 2001 - July 23, 2003
PARAMOUNT PLANNERS, LLC
BD
CRD#: 108437
NEW YORK, NY
Past
September 18, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
October 23, 1996 - April 16, 1997
TRADE-WELL DISCOUNT INVESTING, LLC.
BD
CRD#: 24645
SAN DIEGO, CA
Past
February 23, 1995 - July 26, 1996
WACHOVIA BROKERAGE SERVICE
BD
CRD#: 17503
WINSTON SALEM, NC
Past
January 26, 1993 - January 12, 1995
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
June 26, 1992 - November 6, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/27/1999)
RR
Alaska(9/27/1999)
RR
Arizona(10/8/1999)
RR
Arkansas(9/27/1999)
RR
California(9/27/1999)
RR
Colorado(9/27/1999)
RR
Connecticut(9/27/1999)
RR
Delaware(9/27/1999)
RR
District of Columbia(9/27/1999)
RR
Florida(9/29/1999)
RR
Georgia(9/27/1999)
RR
Hawaii(9/27/1999)
RR
Idaho(9/27/1999)
RR
Illinois(9/27/1999)
RR
Indiana(9/27/1999)
RR
Iowa(9/28/1999)
RR
Kansas(9/27/1999)
RR
Kentucky(9/28/1999)
RR
Louisiana(9/29/1999)
RR
Maine(9/27/1999)
RR
Maryland(9/27/1999)
RR
Massachusetts(9/27/1999)
RR
Michigan(9/27/1999)
RR
Minnesota(9/28/1999)
RR
Mississippi(9/27/1999)
RR
Missouri(9/28/1999)
RR
Montana(9/27/1999)
RR
Nebraska(9/27/1999)
RR
Nevada(10/20/1999)
RR
New Hampshire(9/27/1999)
RR
New Jersey(10/6/1999)
RR
New Mexico(9/27/1999)
RR
New York(9/27/1999)
RR
North Carolina(9/27/1999)
RR
North Dakota(10/4/1999)
RR
Ohio(9/28/1999)
RR
Oklahoma(9/27/1999)
RR
Oregon(9/27/1999)
RR
Pennsylvania(9/27/1999)
RR
Puerto Rico(9/27/1999)
RR
Rhode Island(9/27/1999)
RR
South Carolina(10/5/1999)
RR
South Dakota(9/29/1999)
RR
Texas(9/27/1999)
RR
Utah(9/27/1999)
RR
Vermont(9/27/1999)
RR
Virginia(9/27/1999)
RR
Washington(9/27/1999)
RR
West Virginia(9/27/1999)
RR
Wisconsin(10/1/1999)
RR
Wyoming(9/27/1999)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | MEMBER | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 |
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.
