Frank S. Margiotto
Professional summary
Frank Steven Margiotto, who also goes by Frank Steven Margiotto, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Jersey City, New Jersey and NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey.
Frank is registered as a RR (Registered Representative) and started their career in finance in 2006. Frank has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Steven Margiotto's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2015 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310December 23, 2024 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310May 13, 2009 - February 23, 2015
CHARLES SCHWAB & CO., INC.
April 27, 2007 - April 17, 2009
PERSHING ADVISOR SOLUTIONS LLC
August 16, 2006 - April 18, 2007
UBS SECURITIES LLC
April 5, 2006 - July 7, 2006
PERSHING ADVISOR SOLUTIONS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2020)
Exams
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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