Frank L. Napolitani
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 Lewis Napolitani JR, who also goes by Frank Lewis Napolitani Jr., was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1997. Frank had worked at 10 firms and has passed the Series 63, SIE, Series 62, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2017 - January 9, 2019
FLYING CLOUD SECURITIES LLC
November 25, 2013 - February 23, 2015
COWEN PRIME SERVICES LLC
November 13, 2013 - November 19, 2013
RISE FINANCIAL SERVICES, LLC
November 1, 2010 - September 23, 2013
COWEN PRIME SERVICES LLC
May 22, 2008 - July 11, 2011
SANDERS MORRIS LLC
June 17, 2005 - May 14, 2008
HEDGE FUND CAPITAL PARTNERS, LLC
June 8, 2004 - June 15, 2005
SILVER LEAF PARTNERS, LLC
January 13, 2003 - June 2, 2004
ELECTRONIC TRADING GROUP, LLC
July 30, 2002 - February 7, 2003
INVESTORS CAPITAL CORP.
June 10, 1997 - October 21, 1997
FIRST PROVIDENCE FINANCIAL GROUP, LLC
April 30, 1997 - June 9, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Series 62
Date: 7/29/2002
Corporate Securities Limited Representative ExaminationCurrent Firm
FLYING CLOUD SECURITIES LLC
CRD#: 167621 / SEC#: , 8-69270
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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