Frank L. Patti
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 Leonard Patti, who also goes by Frank L Patti, Frank Leonard Patti Jr, was a registered financial advisor .
Frank is a previously registered financial advisor and started their career in finance in 1995. Frank had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2010 - September 29, 2011
DAVID LERNER ASSOCIATES, INC.
May 19, 2009 - August 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2009 - August 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 28, 2008 - February 27, 2009
M&T SECURITIES, INC.
April 17, 2007 - January 10, 2008
COREBRIDGE CAPITAL SERVICES, INC.
May 15, 2006 - February 5, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
August 4, 2005 - May 24, 2006
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
August 26, 2002 - December 7, 2004
PGIM INVESTMENTS LLC
March 29, 2001 - December 7, 2004
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 9, 1997 - October 20, 2000
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 6, 1995 - May 30, 1996
MORGAN STANLEY DW 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
