Frank L. Boccio
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 Louis Boccio was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1972. Frank had worked at 13 firms and has passed the Series 000, Series 1 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2007 - May 19, 2008
VISION SECURITIES INC.
October 27, 2003 - June 1, 2004
SOUND SECURITIES, LLC
April 29, 2003 - May 4, 2009
A.B. WATLEY DIRECT, INC.
April 21, 2003 - February 3, 2004
A.B. WATLEY, INC.
April 2, 2002 - October 1, 2002
A.B. WATLEY, INC.
July 28, 1999 - October 22, 2001
ON-SITE TRADING, INC.
July 28, 1999 - June 10, 2003
J.P.R. CAPITAL CORP.
November 28, 1998 - July 1, 1999
J.P.R. CAPITAL CORP.
June 2, 1998 - October 18, 2000
US TRADING LLC
November 25, 1987 - October 4, 1990
SECURITIES SETTLEMENT CORPORATION
January 18, 1978 - January 13, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
June 14, 1976 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
November 3, 1972 - April 8, 1974
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1972 - January 19, 1987
E. F. HUTTON & COMPANY INC
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 000
Date: 10/30/1972
General Securities Principal ExaminationSeries 1
Date: 10/30/1972
Registered Representative ExaminationCurrent Firm
VISION SECURITIES INC.
CRD#: 35001 / SEC#: , 8-46500
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
