Frank Delise
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 Delise JR was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2000. Frank had worked at 6 firms and has passed the Series 63, SIE, Series 55 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
March 9, 2015 - January 6, 2016
SUSQUEHANNA FINANCIAL GROUP, LLLP
February 1, 2008 - February 18, 2015
OPPENHEIMER & CO. INC.
June 13, 2007 - February 7, 2008
CIBC WORLD MARKETS CORP.
March 16, 2006 - June 14, 2007
JEFFERIES LLC
September 9, 2005 - March 14, 2006
PERSHING LLC
October 23, 2000 - September 9, 2005
PERSHING ADVISOR SOLUTIONS LLC
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
Series 55
Date: 1/20/2001
Limited Representative-Equity Trader ExamCurrent Firm
SUSQUEHANNA FINANCIAL GROUP, LLLP
CRD#: 35865 / SEC#: , 8-44325
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
Red Flags
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