Frank V. Sapareto

FVS FINANCIAL

DERRY, NH

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CRD#: 2274877

Professional summary

Frank Vincent Sapareto was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Prior to being barred, Frank has worked at 9 firms, which includes TRUSTMONT FINANCIAL GROUP INC., FORTUNE FINANCIAL SERVICES INC., AGES FINANCIAL SERVICES LTD., SOURCE CAPITAL GROUP INC., FVS FINANCIAL, MERIT CAPITAL ASSOCIATES INC., G.R. STUART & COMPANY INC., FINANCIAL SECURITIES NETWORKINC., POLARIS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Vincent Sapareto Jr

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Vincent Sapareto'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®

None

Experience

Current

April 14, 1994 - Present

FVS FINANCIAL

RIA

CRD#: 117340

DERRY, NH

Past

April 15, 2019 - May 5, 2020

TRUSTMONT FINANCIAL GROUP, INC.

CRD#: 18312

DERRY, NH

Past

January 2, 2019 - January 15, 2019

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

MONACA, PA

Past

February 16, 2017 - October 31, 2018

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Westport, CT

Past

March 5, 2015 - April 24, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

December 1, 2001 - December 31, 2014

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

July 5, 1994 - September 9, 2003

FVS FINANCIAL

RIA

CRD#: 117340

DERRY, NH

Past

November 2, 1993 - December 1, 2001

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

February 9, 1993 - September 10, 1993

G.R. STUART & COMPANY, INC.

CRD#: 29101

MAYNARD, MA

Past

December 5, 1992 - February 26, 1993

FINANCIAL SECURITIES NETWORK,INC.

CRD#: 16153

Past

September 23, 1992 - October 30, 1992

POLARIS FINANCIAL SERVICES, INC.

CRD#: 14521

CONCORD, NH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(4/14/1994)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/22/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FVS FINANCIAL

FVS FINANCIAL | SAPARETO, FRANK V.

CRD#: 117340 / SEC#:

Massachusetts

Registered Investment Advisory firm - (4/14/1994 Approved)

New Hampshire

Registered Investment Advisory firm - (7/5/1994 Approved)

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Contact information

Main Address

Derry, NH

Mailing Address

Phone number

(603) 894-4964

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 11,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Frank V. Sapareto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Vincent Sapareto's CRS (Customer Relationship Summary).

Certified licenses

Experience

FVS FINANCIAL

TRUSTMONT FINANCIAL GROUP, INC.

FORTUNE FINANCIAL SERVICES, INC.

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

SOURCE CAPITAL GROUP, INC.

FVS FINANCIAL

MERIT CAPITAL ASSOCIATES, INC.

G.R. STUART & COMPANY, INC.

FINANCIAL SECURITIES NETWORK,INC.

POLARIS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/6/1992

SIE

Date: 10/1/2018

Series 6

Date: 9/22/1992

Current Firm

FVS FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FVS FINANCIAL

TRUST BUT VERIFY

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