Frank A. Cercone
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 Cercone was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1969. Frank had worked at 11 firms and has passed the Series 65, Series 63, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2014 - April 10, 2017
OLYMPIAN INVESTMENT MANAGEMENT, LLC
March 10, 2009 - July 23, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 10, 2009 - July 23, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 29, 2008 - March 10, 2009
BUTLER, WICK & CO., INC.
September 23, 2008 - March 10, 2009
BUTLER, WICK & CO., INC.
February 5, 2003 - September 2, 2008
FERRIS, BAKER WATTS, LLC
February 4, 2003 - September 2, 2008
FERRIS, BAKER WATTS, LLC
March 23, 2001 - February 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2001 - February 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2000 - March 26, 2001
LEHMAN BROTHERS INC.
July 1, 1998 - October 19, 2000
COWEN AND COMPANY
September 15, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
July 31, 1993 - September 19, 1997
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
September 6, 1972 - February 15, 1988
E. F. HUTTON & COMPANY INC
December 18, 1969 - September 30, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 9/20/1983
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 12/12/1969
Registered Representative ExaminationCurrent Firm
OLYMPIAN INVESTMENT MANAGEMENT, LLC
CRD#: 151690 / SEC#: 801-70658
Contact information
Red Flags
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