Frank A. Pipala
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 Pipala, who also goes by Frank A Pipala, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1971. Frank had worked at 10 firms and has passed the Series 63, SIE, Series 5, PC, Series 000 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
August 12, 2013 - June 3, 2019
CANTELLA & CO., INC.
November 27, 2000 - June 3, 2019
CANTELLA & CO., INC.
October 4, 2000 - November 27, 2000
VERAVEST INVESTMENTS, INC.
April 21, 1994 - August 18, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - April 12, 1994
CITIGROUP GLOBAL MARKETS INC.
June 15, 1989 - June 30, 1989
MORGAN STANLEY DW INC.
January 8, 1981 - July 31, 1993
LEHMAN BROTHERS INC.
September 26, 1978 - March 10, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 6, 1976 - May 28, 1978
THOMSON MCKINNON SECURITIES INC.
March 10, 1976 - April 18, 1976
KIDDER, PEABODY & CO., INCORPORATED
May 2, 1972 - April 18, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
September 13, 1971 - May 10, 1972
HAYDEN STONE 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
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 2/23/1981
AMEX Put and Call ExamSeries 000
Date: 9/9/1971
General Securities Principal ExaminationSeries 1
Date: 9/9/1971
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
