Frank P. Catrini
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 Paul Catrini was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1981. Frank had worked at 6 firms and has passed the SIE, Series 55, Series 41, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2018 - May 28, 2020
WALL STREET ACCESS
May 23, 1990 - January 2, 2019
VANDHAM SECURITIES CORP.
March 20, 1990 - May 29, 1990
WALSH, GREENWOOD & CO.
August 8, 1988 - March 10, 1990
MCKINLEY ALLSOPP, INC.
February 14, 1982 - July 30, 1988
BREAN MURRAY & CO., INC.
July 8, 1981 - February 17, 1982
LEHMAN BROTHERS 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: 2/4/2000
Limited Representative-Equity Trader ExamSeries 41
Date: 5/6/1971
NYSE Allied Member ExaminationSeries 1
Date: 6/11/1963
Registered Representative ExaminationSeries 00
Date: 5/6/1971
General Securities Principal ExaminationCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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.
