Frank J. Wanzor

RQD* CLEARING

New York, NY 10007

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CRD#: 2628672

Professional summary

Frank Joseph Wanzor, who also goes by Frank Wanzor, is a registered financial professional currently at RQD* CLEARING, LLC located in New York, New York.

Frank is registered as a RR (Registered Representative) and started their career in finance in 1995. Frank has worked at 5 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 14, Series 27, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frank Wanzor

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Joseph Wanzor's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 17, 2024 - Present

RQD* CLEARING, LLC

Office #1: One World Trade Center Suite 47m, New York, NY 10007

CRD#: 134284

New York, NY

Past

April 9, 2024 - September 4, 2024

PRIME NUMBER CAPITAL, LLC

CRD#: 297029

NEW YORK, NY

Past

October 30, 2017 - November 8, 2023

SCOTIA CAPITAL (USA) INC.

CRD#: 2739

NEW YORK, NY

Past

November 2, 2000 - June 16, 2017

SAFRA SECURITIES LLC

CRD#: 47873

NEW YORK, NY

Past

September 1, 1995 - October 27, 2000

WORLD INVESTMENTS, LLC

CRD#: 20626

LINCROFT, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New Jersey
(9/19/2024)

New York
(9/19/2024)

Exams

State Security Law Exam

Series 63

Date: 6/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/20/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/31/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 9/19/2024

Compliance Officer Examination

Principal/Supervisory Exam

Series 27

Date: 12/30/1996

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/10/1996

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/29/1996

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/17/1996

General Securities Principal Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

RQD* CLEARING, LLC

CRD#: 134284 / SEC#: , 8-66826

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One World Trade Center Suite 47m, New York, NY 10007

Mailing Address

One World Trade Center Suite 47m, New York, NY 10007

Phone number

(646) 804-7900

Established

Delaware since 02/19/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
RQD HOLDING INC.	OWNER
DEROSA, ANTHONY ROCCO	CFO & FINOP	7462224
DONNELLY, BRIAN PATRICK	FOUNDER AND CHAIRMAN	4906429
LOUIS, NICOLAS	COO	4785115
SANOCKI, MICHAEL	CEO	6681188
WANZOR, FRANK	CHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Frank J. Wanzor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Joseph Wanzor's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIME NUMBER CAPITAL, LLC

SCOTIA CAPITAL (USA) INC.

SAFRA SECURITIES LLC

WORLD INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/13/1996

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 12/20/2002

Series 7

Date: 8/31/1995

Series 14

Date: 9/19/2024

Series 27

Date: 12/30/1996

Series 4

Date: 10/10/1996

Series 53

Date: 8/29/1996

Series 24

Date: 1/17/1996

BOX Exchange LLC

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

MIAX Emerald, LLC

MIAX PEARL, LLC

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq MRX, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

RQD* CLEARING, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RQD* CLEARING, LLC

TRUST BUT VERIFY

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