Robert M. Frain
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.
Robert Michael Frain, who also goes by Bob Frain, Bobby Frain, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 15 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2023 - September 10, 2026
VELOCITY CLEARING, LLC
December 2, 2022 - November 27, 2023
MATRIX EXECUTIONS, LLC
September 2, 2021 - September 8, 2022
GTS SECURITIES LLC
August 2, 2021 - August 8, 2022
MISCHLER FINANCIAL GROUP, INC.
February 21, 2018 - July 23, 2021
CAPIS
December 2, 2015 - March 22, 2017
BARDOWN CAPITAL LLC
November 27, 2015 - May 4, 2017
BAYES CAPITAL LLC
December 22, 2010 - November 6, 2013
VIRTU AMERICAS LLC
October 7, 2008 - January 3, 2011
KNIGHT DIRECT LLC
October 7, 2008 - November 8, 2012
KNIGHT CAPITAL AMERICAS, L.P.
March 30, 2006 - July 18, 2008
BANC OF AMERICA SECURITIES LLC
May 15, 2002 - March 2, 2006
WAVE SECURITIES, LLC
October 30, 2001 - December 31, 2001
SERVICE ASSET MANAGEMENT COMPANY
June 11, 1999 - October 15, 2001
KNIGHT CAPITAL MARKETS LLC
December 23, 1998 - May 27, 1999
MORGAN STANLEY DW 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
What does exam status mean?
Series 57TO
Passed: 1/2/2023
Securities Trader ExamCurrent Firm
VELOCITY CLEARING, LLC
CRD#: 126588 / SEC#: , 8-65894
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VCT HOLDINGS, LLC | SOLE MEMBER | |
| BRACERO, FRANK WILLIAM | CHIEF FINANCIAL OFFICER/FINOP | 2178318 |
| CALICE, ROBERT PEER | CHIEF OPERATIONS OFFICER | 2759949 |
| LOGAN, MICHAEL JAMES | CHIEF EXECUTIVE OFFICER | 5763098 |
| PRATNICKI, GREG | CHIEF COMPLIANCE OFFICER | 2409187 |
| ROBERTS, RALSTON PERMAR | CO-PRESIDENT | 2526147 |
| SCHAEFFER, BRIAN KEITH | CO PRESIDENT | 3063403 |
Disclosures
| Regulatory Event | 19 |
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.
