FN
Frank Nicosia
NATIONAL BANK OF CANADA FINANCIAL
New York, NY 10022
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CRD#: 2790594
FN
Professional summary
Frank Nicosia is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Frank Nicosia'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®
NoneExperience
Current
July 8, 2014 - Present
NATIONAL BANK OF CANADA FINANCIAL INC.
Office #1: 65 East 55th Street 8th Floor, New York, NY 10022BD
CRD#: 22698
New York, NY
Past
December 3, 2014 - April 6, 2015
NBF SECURITIES (USA) CORP.
BD
CRD#: 25541
MONTREAL,
Past
October 17, 2013 - July 8, 2014
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
March 24, 2006 - October 4, 2013
SANTANDER INTERNATIONAL SECURITIES, INC.
BD
CRD#: 131165
NEW YORK, NY
Past
August 26, 2005 - March 17, 2006
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 4, 2002 - November 12, 2003
DOMESTIC SECURITIES, INC.
BD
CRD#: 34721
MONTVALE, NJ
Past
October 4, 2001 - November 26, 2001
DOMESTIC SECURITIES, INC.
BD
CRD#: 34721
MONTVALE, NJ
Past
November 28, 1998 - March 9, 2001
TAFFERER TRADING, LLC
BD
CRD#: 36816
NEW YORK, NY
Past
October 22, 1996 - July 31, 1998
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(7/8/2014)
RR
Alaska(7/8/2014)
RR
Arizona(7/8/2014)
RR
Arkansas(7/8/2014)
RR
California(7/8/2014)
RR
Colorado(7/8/2014)
RR
Connecticut(7/8/2014)
RR
Delaware(7/8/2014)
RR
District of Columbia(7/8/2014)
RR
Florida(7/8/2014)
RR
Georgia(7/8/2014)
RR
Hawaii(7/8/2014)
RR
Idaho(7/8/2014)
RR
Illinois(7/8/2014)
RR
Indiana(7/8/2014)
RR
Iowa(7/8/2014)
RR
Kansas(7/8/2014)
RR
Kentucky(7/8/2014)
RR
Louisiana(7/8/2014)
RR
Maine(7/8/2014)
RR
Maryland(7/8/2014)
RR
Massachusetts(7/8/2014)
RR
Michigan(7/8/2014)
RR
Minnesota(7/8/2014)
RR
Mississippi(7/8/2014)
RR
Missouri(7/8/2014)
RR
Montana(7/8/2014)
RR
Nebraska(7/8/2014)
RR
Nevada(7/8/2014)
RR
New Hampshire(7/8/2014)
RR
New Jersey(7/8/2014)
RR
New Mexico(7/8/2014)
RR
New York(7/8/2014)
RR
North Carolina(7/8/2014)
RR
North Dakota(7/8/2014)
RR
Ohio(7/8/2014)
RR
Oklahoma(7/8/2014)
RR
Oregon(7/8/2014)
RR
Pennsylvania(7/8/2014)
RR
Puerto Rico(7/8/2014)
RR
Rhode Island(7/8/2014)
RR
South Carolina(7/8/2014)
RR
South Dakota(7/8/2014)
RR
Tennessee(7/8/2014)
RR
Texas(7/8/2014)
RR
Utah(7/8/2014)
RR
Vermont(7/8/2014)
RR
Virginia(7/8/2014)
RR
Washington(7/8/2014)
RR
West Virginia(7/8/2014)
RR
Wisconsin(7/8/2014)
RR
Wyoming(7/8/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NB
NATIONAL BANK OF CANADA FINANCIAL INC.
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.
CRD#: 22698 / SEC#: , 8-39947
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
65 East 55th Street 8th Floor, New York, NY 10022
Mailing Address
65 East 55th Street 8th Floor, New York, NY 10022
Phone number
(212) 546-7500
Established
Delaware since 06/01/1987
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees
FINRA licenses (52 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 |
| 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 |
| 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 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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