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FM

Frank J. Mineo

BROKERTEC AMERICAS LLC
New York, NY 10282
Some features on this profile are disabled
CRD#: 3104833
FM

Professional summary

Frank Jon Mineo is a registered financial professional currently at BROKERTEC AMERICAS LLC located in New York, New York.

Frank is registered as a RR (Registered Representative) and started their career in finance in 1998. Frank has worked at 5 firms and has passed the Series 63, Series 99TO, Series 3, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Jon Mineo's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 14, 2021 - Present

BROKERTEC AMERICAS LLC

Office #1: 300 Vesey Street 7th Floor, New York, NY 10282
BD
CRD#: 47477
New York, NY
Past

July 19, 2005 - June 11, 2010

TRADEWEB LLC

BD
CRD#: 42759
JERSEY CITY, NJ
Past

September 2, 2003 - June 21, 2005

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

November 26, 2002 - April 21, 2003

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

December 4, 2000 - April 17, 2001

MCDONNELL, INC.

BD
CRD#: 30080
KENILWORTH, IL
Past

September 15, 1998 - February 18, 1999

MCDONNELL, INC.

BD
CRD#: 30080
KENILWORTH, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 3
Date: 5/27/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 12/16/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/9/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BA
BROKERTEC AMERICAS LLC
BROKERTEC AMERICAS LLC | ICAP ELECTRONIC BROKING LLC | BROKERTEC USA, L.L.C.

CRD#: 47477 / SEC#: , 8-51803

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Vesey Street 7th Floor, New York, NY 10282
Mailing Address
300 Vesey Street 7th Floor, New York, NY 10282
Phone number
(800) 438-8616
Established
Delaware since 04/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BROKERTEC HOLDINGS INC.100% OWNERSHIP
CALDERON, DAVID JASONCHIEF FINANCIAL OFFICER4575354
DENNIS, MICHAELDIRECTOR4192184
HIRSCHMANN, ELISA MCHIEF COMPLIANCE OFFICER AND DIRECTOR5112554
WAKEFIELD, JONATHAN BISHOPCEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR1676639
WEINMAN, ANDREW LEONARDCHIEF OPERATIONS OFFICER AND DIRECTOR5209879

Disclosures

Regulatory Event1

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.

Company Information

BROKERTEC AMERICAS LLC

CRD#: 47477New York, NY 10282

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