Frank R. Grillo
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 Roy Grillo, who also goes by Frank R Grillo, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1972. Frank had worked at 7 firms and has passed the Series 00 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 1985 - May 17, 1988
STEVEN ANDREW & COMPANY, INC.
September 17, 1985 - October 24, 1985
VANDERBILT SECURITIES, INC.
May 21, 1985 - September 6, 1988
EQUITIES INTERNATIONAL SECURITIES, INC.
April 11, 1983 - July 23, 1987
WALTER CAPITAL CORPORATION
February 18, 1983 - January 26, 1984
BUCKINGHAM SECURITIES, LTD.
January 3, 1983 - March 15, 1983
MABON, NUGENT & CO.
June 13, 1972 - August 26, 1983
M. H. WALTER & CO., INCORPORATED
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 00
Date: 6/8/1972
General Securities Principal ExaminationCurrent Firm
STEVEN ANDREW & COMPANY, INC.
CRD#: 16082 / SEC#: , 8-33245
Contact information
Documents
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.
