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Francesco V. Mollo

Some features on this profile are disabled
CRD#: 2342435
FM

Professional summary

Francesco V Mollo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Francesco is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Francesco had worked at 4 firms, which includes TAYLOR STUART FINANCIAL INC., DUKE & CO. INC., FIRST UNITED EQUITIES CORPORATION, STRATTON OAKMONT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Francesco Virgilio Mollo | Frank Vic Mollo | Frank Mollo

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 27, 1997 - December 23, 1997

TAYLOR STUART FINANCIAL, INC.

BD
CRD#: 39025
GREAT NECK, NY
Past

February 27, 1996 - January 13, 1997

DUKE & CO., INC.

BD
CRD#: 8035
NEW YORK, NY
Past

July 20, 1995 - April 10, 1996

FIRST UNITED EQUITIES CORPORATION

BD
CRD#: 36398
NEW YORK, NY
Past

October 24, 1994 - July 27, 1995

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/1994
General Securities Representative Examination

Current Firm

TS
TAYLOR STUART FINANCIAL, INC.
800 NO LOADS, INC. | TAYLOR STUART FINANCIAL, INC. | TAYLOR STUART FINANCIAL | STATE STREET SECURITIES, INC.

CRD#: 39025 / SEC#: , 8-48577

BD
Terminated by SEC on 06/07/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 03/23/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GIBSTEIN, EDWARD TAYLORPRESIDENT1197295
MINNAKER, IRVING STUARTTREASURER1814108
KURTZ, RICHARD JAYDIRECT OWNER
GIBSTEIN, RONADIRECT OWNER
MOORE, EILEEN ACHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER2622527
SPINDEL, HOWARDSROP, CROP708042

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

TAYLOR STUART FINANCIAL, INC.

CRD#: 39025

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