Frederick M. Forgione
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.
Frederick Michael Forgione, CFP® was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1994. Frederick had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2008 - March 10, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
January 4, 2007 - October 24, 2007
FLAGSTAR ADVISORS
September 11, 2003 - September 12, 2006
ESSEX NATIONAL SECURITIES, LLC
October 17, 2002 - March 27, 2003
ESSEX NATIONAL SECURITIES, LLC
October 28, 1999 - January 23, 2002
DIME SECURITIES, INC.
December 21, 1994 - October 28, 1999
CITICORP INVESTMENT SERVICES
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
Current Firm
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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