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Francisco J. Tineo

Some features on this profile are disabled
CRD#: 3221630
FT

Professional summary

Francisco Javier Tineo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Francisco is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Francisco had worked at 6 firms, which includes INVESTORS CAPITAL CORP., BROOKVILLE CAPITAL PARTNERS, ROCKWELL GLOBAL CAPITAL LLC, NATIONAL SECURITIES CORPORATION, JOSEPH STEVENS & CO. INC., LADENBURG CAPITAL MANAGEMENT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Francisco Tineo | Frank Tineo

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 7, 2010 - October 29, 2010

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
NEW YORK, NY
Past

January 8, 2010 - June 2, 2010

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
NEW YORK, NY
Past

July 21, 2008 - October 8, 2008

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
LAKEMARY, FL
Past

April 28, 2005 - October 11, 2006

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

November 20, 2002 - June 10, 2005

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

August 17, 1999 - November 19, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

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: 6/9/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/1999
General Securities Representative Examination

Current Firm

IC
INVESTORS CAPITAL CORP.
INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054

BD
Terminated by SEC on 01/17/2017
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Contact information

Main Address
6 Kimball Lane, Lynnfield, MA 01940
Mailing Address
Phone number
Established
Massachusetts since 07/06/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)
TOWER SQUARE INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event22
Arbitration11

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

INVESTORS CAPITAL CORP.

CRD#: 30613

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