Frank Babino
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 Babino, who also goes by Frank A. Babino, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2000. Frank had worked at 8 firms and has passed the Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - March 19, 2015
J. STREICHER & CO. L.L.C.
August 6, 2012 - August 10, 2012
GETCO SECURITIES, LLC
July 2, 2012 - July 24, 2014
VIRTU AMERICAS LLC
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
December 3, 2007 - January 3, 2011
KELLOGG CAPITAL MARKETS, LLC
November 28, 2005 - December 5, 2007
SIG SPECIALISTS, INC.
March 16, 2001 - November 23, 2005
LABRANCHE & CO. LLC
October 1, 2000 - March 16, 2001
ROBB PECK MCCOOEY SPECIALIST CORPORATION
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 21
Date: 2/12/2003
NYSE Front Line Specialist ClerkSeries 25
Date: 4/6/2000
NYSE Trading Assistant ExaminationCurrent Firm
J. STREICHER & CO. L.L.C.
CRD#: 3526 / SEC#: , 8-4342
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
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.
