Frank J. Lento
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 J Lento, who also goes by Frank Joseph Lento, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1974. Frank had worked at 10 firms and has passed the Series 65, Series 63, SIE, PC, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2008 - March 4, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2008 - March 4, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - September 26, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - September 26, 2008
MORGAN STANLEY & CO. LLC
June 12, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
March 17, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
April 7, 1994 - April 5, 2000
UBS FINANCIAL SERVICES INC.
July 31, 1993 - March 31, 1994
CITIGROUP GLOBAL MARKETS INC.
February 14, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
May 3, 1984 - January 30, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 1981 - April 10, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
August 1, 1974 - June 11, 1981
TOWER SQUARE SECURITIES, INC.
April 29, 1974 - May 6, 1981
INVESTORS ASSOCIATES, INC.
April 11, 1974 - September 24, 1975
CHRISTIAN-PAINE & CO., INC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
PC
Date: 8/22/1991
AMEX Put and Call ExamSeries 5
Date: 5/3/1983
Interest Rate Options ExaminationSeries 1
Date: 4/8/1974
Registered Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
