Frank R. Rossi
Professional summary
Frank Rocco Rossi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Frank had worked at 6 firms, which includes TRILLIUM BROKERAGE SERVICES LLC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, HERZOG HEINE GEDULD LLC, RAYMOND JAMES FINANCIAL SERVICES INC., LEERINK PARTNERS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2005 - August 10, 2005
TRILLIUM BROKERAGE SERVICES, LLC
April 11, 2003 - August 26, 2004
IDS LIFE INSURANCE COMPANY
April 11, 2003 - August 26, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
October 7, 1999 - December 31, 2001
HERZOG, HEINE, GEDULD, LLC
March 29, 1999 - August 25, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 28, 1999 - February 12, 1999
LEERINK PARTNERS LLC
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 55
Date: 3/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
TRILLIUM BROKERAGE SERVICES, LLC
CRD#: 120064 / SEC#: , 8-65247
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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