Frank E. Ventura
Professional summary
Frank Enrique Ventura is a registered financial advisor currently at EAGLE STRATEGIES LLC located in White Plains, New York and NYLIFE DISTRIBUTORS LLC located in White Plains, New York.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Frank has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 7A, Series 25 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frank Enrique Ventura's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2022 - Present
EAGLE STRATEGIES LLC
Office #1: 44 South Broadway, White Plains, NY 10601October 10, 2022 - Present
NYLIFE DISTRIBUTORS LLC
Office #1: 44 South Broadway, White Plains, NY 10601April 27, 2022 - September 20, 2022
PARK AVENUE SECURITIES LLC
October 20, 2021 - September 20, 2022
PARK AVENUE SECURITIES LLC
June 2, 2008 - June 29, 2011
PENSERRA SECURITIES, LLC
November 21, 2000 - September 30, 2021
ROSENBLATT SECURITIES INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/10/2022)
(10/10/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/27/2004
Limited Representative-Equity Trader ExamSeries 7A
Date: 6/29/2001
Floor Broker Representative ExamSeries 25
Date: 4/12/2001
NYSE Trading Assistant ExaminationFINRA
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
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