Frank M. Saldana
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 Miguel Saldana, who also goes by Francisco Miguel Saldana, Frank Saldana, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1996. Frank had worked at 6 firms and has passed the Series 63, Series 79, Series 87 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
June 7, 2012 - January 23, 2013
ESPOSITO SECURITIES, LLC
April 18, 2011 - June 1, 2012
C.K. COOPER & COMPANY, INC.
September 25, 2000 - January 16, 2003
CREDIT AGRICOLE SECURITIES (USA) INC.
October 5, 1998 - September 6, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 6, 1997 - October 6, 1998
EDWARD JONES
March 8, 1996 - June 20, 1997
CETERA INVESTMENT SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
ESPOSITO SECURITIES, LLC
CRD#: 143710 / SEC#: , 8-67596
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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