Frank J. Montresor
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 John Montresor SR, who also goes by Frank John Montresor, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1996. Frank had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
January 27, 2022 - October 5, 2022
CHARLES SCHWAB & CO., INC.
January 26, 2022 - October 5, 2022
CHARLES SCHWAB & CO., INC.
November 30, 2007 - October 5, 2022
TD AMERITRADE, INC.
November 30, 2007 - October 5, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 30, 2007 - October 5, 2022
TD AMERITRADE, INC.
June 26, 2006 - September 4, 2007
E*TRADE SECURITIES LLC
April 5, 2005 - June 21, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 2005 - June 21, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 2003 - March 29, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 22, 2003 - December 15, 2003
J.P. MORGAN SECURITIES LLC
June 11, 1999 - December 15, 2003
J.P. MORGAN SECURITIES LLC
August 29, 1996 - June 23, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
