Frank A. Passarella
Professional summary
Frank Anthony Passarella was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Frank had worked at 8 firms, which includes VISION SECURITIES INC., GUNNALLEN FINANCIAL INC, CONTINENTAL BROKER-DEALER CORP., HARRISON SECURITIES INC., WHITEHALL WELLINGTON INVESTMENTS INC., FIRST MONTAUK SECURITIES CORP., LADENBURG CAPITAL MANAGEMENT INC., MATRIX SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2004 - September 13, 2004
VISION SECURITIES INC.
October 9, 2003 - February 9, 2004
GUNNALLEN FINANCIAL, INC
March 15, 2002 - October 16, 2003
CONTINENTAL BROKER-DEALER CORP.
January 2, 2001 - April 1, 2002
HARRISON SECURITIES, INC.
January 11, 1999 - December 31, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
February 27, 1998 - December 11, 1998
FIRST MONTAUK SECURITIES CORP.
October 2, 1996 - February 20, 1998
LADENBURG CAPITAL MANAGEMENT INC.
January 1, 1996 - October 1, 1996
MATRIX SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
VISION SECURITIES INC.
CRD#: 35001 / SEC#: , 8-46500
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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