Frank Nicosia
Professional Summary
Frank Nicosia is a registered financial advisor currently at NATIONAL BANK OF CANADA FINANCIAL INC. located in New York, New York. Frank is registered as a RR (Registered Representative) and started their career in finance in 1996. Frank has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
NATIONAL BANC FINANCIAL INC. | PUTNAM, LOVELL, DE GUARDIOLA & THORNTON INC. | PUTNAM, LOVELL & THORNTON INC. | PUTNAM LOVELL SECURITIES INC. | PUTNAM LOVELL NBF SECURITIES INC. | PUTNAM LOVELL NBF | NATIONAL BANK OF CANADA FINANCIAL INC.
Contact Information
Main Address
65 East 55th Street 8th Floor, New York, NY 10022Mailing Address
65 East 55th Street 8th Floor, New York, NY 10022Phone Number
(212) 546-7500Established
Delaware since 06/01/1987Firm Type
CorporationFiscal Year End
OctoberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL BANK OF CANADA FINANCIAL GROUP INC. | SHAREHOLDER | — |
| BONDY, TODD RICHARD | MANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING | 2526622 |
| CROSSKILL MACDONALD, BENJAMIN STONE | MANAGING DIRECTOR AND HEAD OF EQUITY DELTA ONE & GSF | 5923992 |
| DONNELLY, MICHAEL PATRICK | MANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING | 2530195 |
| DUBUC, ETIENNE | CHAIRMAN OF BOARD, EQUITIES SALES SUPERVISOR | 6628432 |
| GRABOVSKY, YURI | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, AND FINOP | 4149242 |
| HEALEY, SEAN CHRISTOPHER | PRESIDENT, CEO, CTO, MANAGING DIRECTOR, GLOBAL SECURITIES FINANCE, REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL | 3218329 |
| HOOD, ANDREW PETER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 3008883 |
| KATCHOUNI, ALAIN | MANAGING DIRECTOR AND HEAD OF EQUITIES | 4863032 |
| KELLER, SETH MICHAEL | MANAGING DIRECTOR, GLOBAL HEAD OF POWER, UTILITIES, AND INFRASTRUCTURE | 5785498 |
| LOCAS, YVES JOSEPH | MANAGING DIRECTOR, HEAD OF U.S. DEBT SYNDICATION | 6038023 |
| MCENTYRE, PATRICK MICHAEL | MANAGING DIRECTOR, INSTITUTIONAL EQUITY ELECTRONIC TRADING AND SERVICES | 4420353 |
| MCGOWAN, KATIE MARIE | CHIEF COMPLIANCE OFFICER | 5111849 |
| MILLER, ROBERT DENNIS | MANAGING DIRECTOR, HEAD OF U.S. DEBT CAPITAL MARKETS | 2991181 |
| PETITTO, LOUIS ROBERT | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 6449700 |
| SCHOLL, STEVEN CHRISTOPHER | MANAGING DIRECTOR, EQUITY FINANCE | 2156531 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 1999SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Frank Nicosia's CRS (Customer Relationship Summary).
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