Frank A. Montesano
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 Anthony Montesano was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1996. Frank had worked at 11 firms and has passed the Series 65, Series 63 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
July 9, 2008 - September 4, 2013
CETERA INVESTMENT SERVICES LLC
July 9, 2008 - September 4, 2013
CETERA INVESTMENT SERVICES LLC
March 22, 2007 - June 3, 2008
CUSO FINANCIAL SERVICES, L.P.
March 21, 2007 - June 3, 2008
CUSO FINANCIAL SERVICES, L.P.
September 1, 2006 - March 22, 2007
IFMG SECURITIES, INC.
August 30, 2006 - March 22, 2007
IFMG SECURITIES, INC.
June 14, 2006 - July 11, 2006
CETERA INVESTMENT SERVICES LLC
May 3, 2006 - July 11, 2006
BANCNORTH INVESTMENT GROUP, INC.
December 21, 2005 - May 5, 2006
PNC WEALTH MANAGEMENT LLC
December 21, 2005 - May 5, 2006
PNC WEALTH MANAGEMENT LLC
August 1, 2003 - December 19, 2005
INVEST FINANCIAL CORPORATION
August 1, 2003 - December 19, 2005
INVEST FINANCIAL CORPORATION
March 5, 2003 - August 20, 2003
BNY MELLON SECURITIES LLC
December 5, 2001 - August 20, 2003
BNY MELLON SECURITIES LLC
July 28, 1999 - December 5, 2001
CONSECO SECURITIES, INC.
October 21, 1998 - July 19, 1999
SUMMIT FINANCIAL SERVICES GROUP, INC.
January 9, 1998 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
November 18, 1996 - January 21, 1998
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
