Frank A. Lipari
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 Lipari, who also goes by Frank Lipari, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2000. Frank had worked at 9 firms and has passed the Series 7A 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
November 28, 2012 - November 29, 2018
QUATTRO M SECURITIES INC.
July 10, 2007 - October 26, 2012
PRIME EXECUTIONS, INC.
June 29, 2007 - June 29, 2007
LEK SECURITIES CORPORATION
August 1, 2006 - July 9, 2007
LIPARI PARTNERS INC.
June 23, 2005 - August 4, 2006
BLUE POINT SECURITIES INC.
June 3, 2004 - June 3, 2004
RAYMOND C. FORBES & CO., INC.
May 17, 2004 - June 24, 2005
SUNGARD GLOBAL EXECUTION SERVICES LLC
October 21, 2003 - May 19, 2004
HYY FORBES, LLC
October 1, 2000 - October 14, 2003
J & A SECURITIES, 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 7A
Date: 4/27/2005
Floor Broker Representative ExamSeries 25
Date: 3/14/2000
NYSE Trading Assistant ExaminationCurrent Firm
QUATTRO M SECURITIES INC.
CRD#: 39289 / SEC#: , 8-48629
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
