Francesco P. Sinatra
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.
Francesco Paul Sinatra, who also goes by Frank Sinatra, was a registered financial professional .
Francesco is a previously registered financial professional and started their career in finance in 1971. Francesco had worked at 8 firms and has passed the Series 63, SIE, Series 1 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
January 6, 2010 - January 12, 2015
CABRERA CAPITAL MARKETS, LLC
April 13, 2009 - January 7, 2010
HAPOALIM SECURITIES USA, INC.
January 3, 2006 - April 1, 2009
SANDERS MORRIS LLC
April 12, 2004 - January 13, 2006
ADVEST, INC.
July 1, 2003 - April 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 16, 1977 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
March 4, 1971 - August 27, 1976
BACHE & CO INCORPORATED
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 1
Date: 3/1/1971
Registered Representative ExaminationCurrent Firm
CABRERA CAPITAL MARKETS, LLC
CRD#: 10081 / SEC#: , 8-26406
Contact information
FINRA licenses (30 States and Territories)
Documents
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
