AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
FW

Frank J. Wanzor

RQD* CLEARING
New York, NY 10007
Some features on this profile are disabled
CRD#: 2628672
FW

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 and OPTIMAL EXECUTIONS, 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 6 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"?
No

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).

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
BD
CRD#: 134284
New York, NY
Current

January 20, 2026 - Present

OPTIMAL EXECUTIONS, LLC

Office #1: One World Trade Center Suite 47m, New York, NY 10007
BD
CRD#: 336439
NEW YORK, NY
Past

April 9, 2024 - September 4, 2024

PRIME NUMBER CAPITAL, LLC

BD
CRD#: 297029
NEW YORK, NY
Past

October 30, 2017 - November 8, 2023

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

November 2, 2000 - June 16, 2017

SAFRA SECURITIES LLC

BD
CRD#: 47873
NEW YORK, NY
Past

September 1, 1995 - October 27, 2000

WORLD INVESTMENTS, LLC

BD
CRD#: 20626
LINCROFT, NJ

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
Illinois
(2/5/2026)
RR
New Jersey
(9/19/2024)
RR
New York
(9/19/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/13/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/20/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/31/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 9/19/2024
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/30/1996
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/10/1996
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/29/1996
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/17/1996
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

OE
OPTIMAL EXECUTIONS, LLC
OPTIMAL EXECUTIONS, LLC

CRD#: 336439 / SEC#: , 8-71367

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
(929) 506-5036
Established
Delaware since 12/02/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OPTIMAL HOLDINGS, INCMANAGING MEMBER
DEROSA, ANTHONY ROCCOCFO & FINOP7462224
DONNELLY, BRIAN PATRICKFOUNDER, CHAIRMAN AND CEO4906429
WANZOR, FRANK JOSEPHCHIEF COMPLIANCE OFFICER2628672

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.

Company Information

OPTIMAL EXECUTIONS, LLC

CRD#: 336439New York, NY 10007

TRUST BUT VERIFY

Monitor Frank Wanzor

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.