Frank A. Andrea

OPTIVER EXECUTION SERVICES LLC

New York, NY 10010

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CRD#: 5002112

Professional summary

Frank Albert Andrea is a registered financial professional currently at OPTIVER EXECUTION SERVICES LLC located in New York, New York.

Frank is registered as a RR (Registered Representative) and started their career in finance in 2012. Frank has worked at 4 firms and has passed the Series 63, SIE, Series 57, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Albert Andrea's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 26, 2023 - Present

OPTIVER EXECUTION SERVICES LLC

Office #1: 360 Park Avenue South Suite 1200, New York, NY 10010Office #2: 130 E Randolph Street Suite 800, Chicago, IL 60601

CRD#: 316308

New York, NY

Past

January 31, 2023 - April 26, 2023

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

Past

August 9, 2018 - January 31, 2023

MKM PARTNERS LLC

CRD#: 114666

STAMFORD, CT

Past

October 12, 2015 - July 9, 2018

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

July 17, 2012 - October 5, 2015

MKM PARTNERS LLC

CRD#: 114666

STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(3/19/2025)

California
(5/2/2023)

Connecticut
(5/2/2023)

Florida
(5/2/2023)

Illinois
(5/2/2023)

Massachusetts
(7/28/2025)

Montana
(3/19/2025)

New Jersey
(5/2/2023)

New York
(5/2/2023)

Pennsylvania
(5/2/2023)

Puerto Rico
(5/2/2023)

Rhode Island
(6/28/2023)

Texas
(5/2/2023)

Virginia
(5/2/2023)

Washington
(6/28/2023)

Exams

State Security Law Exam

Series 63

Date: 9/18/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 10/31/2017

Securities Trader Exam

General Industry/Product Exam

Series 3

Date: 12/15/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/16/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OPTIVER EXECUTION SERVICES LLC

CRD#: 316308 / SEC#: , 8-70932

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

130 E Randolph Street Suite 800, Chicago, IL 60601

Mailing Address

130 E Randolph Street Suite 800, Chicago, IL 60601

Phone number

(312) 821-9500

Established

Illinois since 07/29/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OPTIVER VENTURES PARTNERSHIP US LP	PARENT COMPANY
COLEMAN, KEVIN PAUL	CHIEF COMPLIANCE OFFICER	6254324
DEATON, MICHAEL WILLIAM	CHIEF FINANCIAL OFFICER	2964800
LEES, JUSTIN TERENCE	HEAD OF SALES TRADING	6077317
WADE, ASHLEY K	FINOP	6588506

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Frank A. Andrea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Albert Andrea's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTH CAPITAL PARTNERS, LLC

MKM PARTNERS LLC

SG AMERICAS SECURITIES, LLC

MKM PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/2012

SIE

Date: 10/1/2018

Series 57

Date: 10/31/2017

Series 3

Date: 12/15/2016

Series 7

Date: 7/16/2012

FINRA

Current Firm

OPTIVER EXECUTION SERVICES LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OPTIVER EXECUTION SERVICES LLC

TRUST BUT VERIFY

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