FS
Frank Sorbara
SUTTER SECURITIES
Boca Raton, FL 33431
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CRD#: 2534277
FS
Professional summary
Frank Sorbara is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Frank Sorbara'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®
NoneExperience
Current
January 17, 2021 - Present
SUTTER SECURITIES INCORPORATED
Office #1: 2500 N. Military Trail Suite 306, Boca Raton, FL 33431BD
CRD#: 30770
Boca Raton, FL
Past
January 15, 2021 - August 29, 2024
BOUSTEAD SECURITIES, LLC
BD
CRD#: 141391
Boca Raton, FL
Past
April 29, 2008 - January 25, 2021
WESTPARK CAPITAL, INC.
BD
CRD#: 39914
BOCA RATON, FL
Past
August 27, 2004 - April 30, 2008
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
MELVILLE, NY
Past
September 12, 1995 - October 31, 2001
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
BROOKLYN, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/25/2021)
RR
Alaska(1/26/2021)
RR
Arizona(7/17/2024)
RR
California(1/17/2021)
RR
Colorado(4/16/2021)
RR
Connecticut(1/31/2021)
RR
District of Columbia(2/9/2021)
RR
Florida(1/17/2021)
RR
Hawaii(2/3/2021)
RR
Illinois(1/17/2021)
RR
Indiana(1/17/2021)
RR
Iowa(1/31/2021)
RR
Kentucky(1/17/2021)
RR
Maine(2/11/2021)
RR
Maryland(1/19/2021)
RR
Massachusetts(1/17/2021)
RR
Michigan(1/17/2021)
RR
Minnesota(3/23/2021)
RR
Missouri(7/20/2021)
RR
Nevada(2/19/2021)
RR
New Hampshire(2/24/2021)
RR
New Jersey(1/17/2021)
RR
New York(1/17/2021)
RR
Ohio(1/19/2021)
RR
Pennsylvania(1/17/2021)
RR
Rhode Island(2/9/2021)
RR
South Carolina(3/2/2021)
RR
Tennessee(3/4/2021)
RR
Texas(1/17/2021)
RR
Utah(1/28/2021)
RR
Virginia(1/17/2021)
RR
Washington(2/19/2021)
RR
Wisconsin(1/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SUTTER SECURITIES INCORPORATED
S & D SECURITIES, INC. | SUTTER SECURITIES, INC. | SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618
Mailing Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618
Phone number
(415) 352-6300
Established
California since 07/22/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (50 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 | 1 |
| Bond | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SUTTER SECURITIES INCORPORATED
CRD#: 30770Boca Raton, FL 33431TRUST BUT VERIFY
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