Scott R. Franzini
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.
Scott Richard Franzini was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2000. Scott had worked at 10 firms and has passed the Series 66, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2017 - November 9, 2017
BLOCK ORDERS EXECUTION, LLC
September 7, 2010 - July 25, 2016
VICTOR SECURITIES, LLC
December 15, 2009 - September 8, 2010
INSTINET, LLC
December 7, 2006 - February 25, 2010
TORC INVESTMENTS AND RESEARCH LLC
September 30, 2003 - September 21, 2004
BNY MELLON SECURITIES CORPORATION
March 3, 2003 - August 25, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
January 14, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
January 4, 2002 - January 6, 2003
PAX CLEARING CORPORATION
August 29, 2000 - December 19, 2001
QUICK & REILLY, INC.
January 6, 2000 - August 11, 2000
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
Series 55
Date: 1/29/2002
Limited Representative-Equity Trader ExamCurrent Firm
BLOCK ORDERS EXECUTION, LLC
CRD#: 134932 / SEC#: , 8-66871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIQUID HOLDINGS, LLC, | 100% OWNER, SOLE MEMBER | |
| FRANZINI, SCOTT RICHARD | CHIEF COMPLIANCE OFFICER. ELECTED MANAGER | 4064007 |
| SAMUEL, KEVIN SHUICHI | SECRETARY, DIRECTOR, MANAGING PARTNER OF SOLE MEMBER, ELECTED MANAGER | 4792005 |
| SAMUEL, KEVIN SHUICHI | PRESIDENT | 4792005 |
| WIELAGE, JAMESON TAYLOR | CFO/FINOP. ELECTED MANAGER | 5762468 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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