Frank Mayol
Professional summary
Frank Mayol was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Frank had worked at 4 firms, which includes BNY INVESTMENT CENTER INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2004 - April 22, 2004
BNY INVESTMENT CENTER INC.
May 31, 2002 - January 15, 2004
IDS LIFE INSURANCE COMPANY
May 31, 2002 - January 15, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
March 8, 2002 - May 23, 2002
EQUITABLE ADVISORS, 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
Exams
Current Firm
BNY INVESTMENT CENTER INC.
CRD#: 47683 / SEC#: , 8-51868
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE BANK OF NEW YORK | SHAREHOLDER | |
| ANTONIO, FELICIA ANN | CHIEF COMPLIANCE OFFICER | 2085690 |
| ARIAS, OTTO JR | PRESIDENT, MSRB PRINCIPAL | 4837839 |
| BICKET, PATRICIA ANN | SECRETARY | 4030557 |
| BRUECKNER, RICHARD FREDERICK | CHAIRMAN/DIRECTOR | 878486 |
| BURR, RUSSEL ALAN | DIRECTOR | |
| DUFFY, JAMES PATRICK | OSJ PRINCIPAL | 1947171 |
| FIDEN, BRETT MICHAEL | TRADING SUPERVISOR | 1907859 |
| KEARNEY, MATTHEW WILLIAM | SROP, CROP | 2588271 |
| LUPO, FRANK | FINOP | 1807297 |
| MASTRO, THOMAS J. | TREASURER | 3242279 |
| STRUMEYER, GARY MITCHELL | DIRECTOR | 1157466 |
Red Flags
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