Frank Sorbara
Professional Summary
Frank Sorbara is a registered financial advisor currently at SUTTER SECURITIES INCORPORATED located in Boca Raton, Florida. Frank is registered as a RR (Registered Representative) and started their career in finance in 1995. Frank has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
S & D SECURITIES, INC. | SUTTER SECURITIES, INC. | SUTTER SECURITIES INCORPORATED
Contact Information
Main Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618Mailing Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618Phone Number
(415) 352-6300Established
California since 07/22/1992Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | — |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | — |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
Regulatory Event
3Bond
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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.
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State Registrations and Notice Filings
(2/25/2021)
(1/26/2021)
(7/17/2024)
(1/17/2021)
(4/16/2021)
(1/31/2021)
(2/9/2021)
(1/17/2021)
(2/3/2021)
(1/17/2021)
(1/17/2021)
(1/31/2021)
(1/17/2021)
(2/11/2021)
(1/19/2021)
(1/17/2021)
(1/17/2021)
(3/23/2021)
(7/20/2021)
(2/19/2021)
(2/24/2021)
(1/17/2021)
(1/17/2021)
(1/19/2021)
(1/17/2021)
(2/9/2021)
(3/2/2021)
(3/4/2021)
(1/17/2021)
(1/28/2021)
(1/17/2021)
(2/19/2021)
(1/26/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2005About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jun 2005About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Frank Sorbara's CRS (Customer Relationship Summary).
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