Frank A. Cercone
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 Anthony Cercone, who also goes by Tony Cercone, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2001. Frank had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2010 - November 19, 2012
VALMARK SECURITIES, INC.
July 23, 2010 - November 18, 2010
INDEPENDENCE CAPITAL CO., INC.
April 24, 2009 - June 14, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 2009 - June 14, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
July 5, 2007 - April 30, 2009
PRUCO SECURITIES, LLC.
March 9, 2006 - January 4, 2007
KEY INVESTMENT SERVICES LLC
September 14, 2004 - January 19, 2006
AMERIPRISE ADVISOR SERVICES, INC.
May 14, 2003 - June 16, 2004
MML INVESTORS SERVICES, LLC
July 16, 2001 - June 16, 2004
MML INVESTORS SERVICES, 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
Current Firm
VALMARK SECURITIES, INC.
CRD#: 31243 / SEC#: , 8-45463
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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