Frank L. Gatto
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.
Frank Louis Gatto, who also goes by Francis Louis Gatto, Frank L Gatto, Frank Gatto, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1995. Frank had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, 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 27, 2018 - April 28, 2020
TD AMERITRADE, INC.
February 26, 2018 - April 28, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - April 28, 2020
TD AMERITRADE, INC.
June 1, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 17, 2009 - February 26, 2018
SCOTTRADE, INC.
November 20, 2006 - July 17, 2009
E*TRADE SECURITIES LLC
May 19, 2006 - October 18, 2006
THE WINDMILL GROUP, INC.
July 7, 1998 - June 24, 2004
CHARLES SCHWAB & CO., INC.
July 2, 1997 - June 12, 1998
MORGAN STANLEY DW INC.
August 15, 1995 - June 25, 1997
THE WINDMILL GROUP, INC.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
