Frank D. Marinelli
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 David Marinelli, who also goes by Frank D Marinelli, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1999. Frank had worked at 6 firms and has passed the Series 63, SIE 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
December 5, 2011 - August 8, 2019
SOUTHEAST INVESTMENTS, N.C., INC.
September 26, 2001 - December 5, 2011
J.P. TURNER & COMPANY, L.L.C.
January 10, 2000 - September 26, 2001
BENSON YORK GROUP, INC.
September 16, 1999 - October 28, 1999
CARNEGIE INVESTOR SERVICES INC.
September 14, 1999 - September 23, 1999
JWGENESIS FINANCIAL GROUP, INC
July 29, 1999 - August 23, 1999
HD BROUS & CO., 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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| 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.
