Frank Persampieri

EQUITABLE DISTRIBUTORS

Charlotte, NC 28262

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CRD#: 2779778

Professional summary

Frank Persampieri is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

Frank is registered as a RR (Registered Representative) and started their career in finance in 1997. Frank has worked at 15 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Persampieri's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 20, 2023 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262

CRD#: 25900

Charlotte, NC

Past

September 5, 2022 - February 22, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

THORNWOOD, NY

Past

June 29, 2022 - February 22, 2023

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

September 10, 2021 - September 5, 2022

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

THORNWOOD, NY

Past

June 9, 2021 - September 5, 2022

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

August 20, 2019 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

November 16, 2017 - August 22, 2019

CROSSMARK DISTRIBUTORS, INC.

CRD#: 14970

HOUSTON, TX

Past

November 6, 2014 - October 27, 2017

SENTINEL FINANCIAL SERVICES COMPANY

CRD#: 31175

MONTPELIER, VT

Past

December 1, 2005 - November 24, 2014

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

January 24, 2005 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 26, 2002 - August 16, 2004

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

January 10, 2001 - February 12, 2002

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

October 1, 2000 - December 15, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 7, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

February 12, 1998 - March 2, 2000

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

August 13, 1997 - December 3, 1997

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

May 28, 1997 - August 12, 1997

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(3/20/2023)

Maine
(3/20/2023)

Massachusetts
(3/20/2023)

New Hampshire
(3/20/2023)

New York
(3/20/2023)

Rhode Island
(3/20/2023)

Vermont
(3/20/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/8/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/27/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EQUITABLE DISTRIBUTORS, LLC

AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

8501 Ibm Drive, Suite 150, Charlotte, NC 28262

Mailing Address

1345 Avenue Of The Americas, New York, NY 10105

Phone number

(212) 314-2137

Established

Delaware since 01/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
EQ HOLDINGS, LLC	OWNER
D'AUGUSTE, ARIELLE RACHEL	GENERAL COUNSEL	7252573
DURSO, ALFRED JOSEPH	CHIEF COMPLIANCE OFFICER	2546771
KAIS, JAMES MICHAEL	DIRECTOR	2529327
LANE, NICHOLAS BURRITT	CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER	4994948
SCANLON, STEPHEN CAULEY	DIRECTOR	2219308
SCAPPATOR, CANDACE LYNN	FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER	4697607

Disclosures

Arbitration

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.

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Advisor Monitoring

Firm Stability Insights

Frank Persampieri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Persampieri's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

CROSSMARK DISTRIBUTORS, INC.

SENTINEL FINANCIAL SERVICES COMPANY

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

J.P. TURNER & COMPANY, L.L.C.

ARGENT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2021

Series 63

Date: 6/9/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/27/1997

FINRA

Current Firm

EQUITABLE DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EQUITABLE DISTRIBUTORS, LLC

TRUST BUT VERIFY

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