FA
Francis J. Argenziano
THINKEQUITY LLC
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 2795635
FA
Professional summary
Francis Joseph Argenziano III, who also goes by Frank Joseph Argenziano, is a registered financial professional currently at THINKEQUITY LLC located in New York, New York.
Francis is registered as a RR (Registered Representative) and started their career in finance in 1997. Francis has worked at 12 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frank Joseph Argenziano
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 Francis Joseph Argenziano III'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
September 23, 2020 - Present
THINKEQUITY LLC
Office #1: 17 State Street, 41st Floor, New York, NY 10004Office #2: 17 State Street 41st Floor, New York, NY, 10004BD
CRD#: 20996
NEW YORK, NY
Past
September 5, 2017 - September 23, 2020
NORTH SOUTH CAPITAL, LLC
BD
CRD#: 148158
New York, NY
Past
September 18, 2015 - August 30, 2017
MARTEL CAPITAL, LLC
BD
CRD#: 159049
New York, NY
Past
July 31, 2013 - August 17, 2015
FOREFRONT CAPITAL MARKETS LLC
BD
CRD#: 151812
NEW YORK, NY
Past
January 24, 2013 - July 31, 2013
DU PASQUIER & CO., INC.
BD
CRD#: 24750
NEW YORK, NY
Past
June 15, 2011 - December 3, 2012
ROCKWELL GLOBAL CAPITAL LLC
BD
CRD#: 142485
NEW YORK, NY
Past
October 3, 2008 - June 10, 2011
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
NEW YORK, NY
Past
April 17, 2008 - October 3, 2008
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
January 6, 2003 - March 26, 2008
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
September 18, 2001 - January 3, 2003
P. SCHOENFELD ASSET MANAGEMENT LLC
BD
CRD#: 41732
NEW YORK, NY
Past
February 18, 2000 - July 10, 2000
APEX CLEARING CORPORATION
BD
CRD#: 13071
DALLAS, TX
Past
February 24, 1997 - March 7, 2000
PARAGON CAPITAL MARKETS, INC.
BD
CRD#: 18555
EAST HANOVER, NJ
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(9/23/2020)
RR
Alaska(9/23/2020)
RR
Arizona(9/23/2020)
RR
Arkansas(9/23/2020)
RR
California(9/23/2020)
RR
Colorado(9/23/2020)
RR
Connecticut(9/23/2020)
RR
Delaware(9/23/2020)
RR
District of Columbia(9/23/2020)
RR
Florida(9/23/2020)
RR
Georgia(9/23/2020)
RR
Hawaii(9/23/2020)
RR
Idaho(9/23/2020)
RR
Illinois(9/23/2020)
RR
Indiana(9/23/2020)
RR
Iowa(9/23/2020)
RR
Kansas(9/23/2020)
RR
Kentucky(9/23/2020)
RR
Louisiana(9/23/2020)
RR
Maine(9/23/2020)
RR
Maryland(9/23/2020)
RR
Massachusetts(9/23/2020)
RR
Michigan(9/23/2020)
RR
Minnesota(9/23/2020)
RR
Mississippi(9/23/2020)
RR
Missouri(9/23/2020)
RR
Montana(9/23/2020)
RR
Nebraska(9/23/2020)
RR
Nevada(9/23/2020)
RR
New Hampshire(9/23/2020)
RR
New Jersey(9/23/2020)
RR
New Mexico(9/23/2020)
RR
New York(9/23/2020)
RR
North Carolina(9/23/2020)
RR
North Dakota(9/23/2020)
RR
Ohio(9/27/2020)
RR
Oklahoma(9/23/2020)
RR
Oregon(9/23/2020)
RR
Pennsylvania(9/23/2020)
RR
Puerto Rico(9/23/2020)
RR
Rhode Island(9/23/2020)
RR
South Carolina(9/23/2020)
RR
South Dakota(9/23/2020)
RR
Tennessee(1/25/2021)
RR
Texas(9/23/2020)
RR
Utah(9/24/2020)
RR
Vermont(9/23/2020)
RR
Virgin Islands(9/23/2020)
RR
Virginia(9/23/2020)
RR
Washington(9/23/2020)
RR
West Virginia(9/23/2020)
RR
Wisconsin(9/23/2020)
RR
Wyoming(9/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/17/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TL
THINKEQUITY LLC
FORDHAM FINANCIAL MANAGEMENT, INC. | THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
17 State Street 41st Floor, New York, NY, 10004
Mailing Address
17 State Street 41st Floor, New York, NY, 10004
Phone number
(212) 732-8500
Established
Delaware since 08/13/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
