Frank S. Tomasula
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 Stephen Tomasula was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2006. Frank had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2018 - November 22, 2019
SOVEREIGN GLOBAL ADVISORS LLC
September 20, 2018 - November 22, 2019
SOVEREIGN GLOBAL ADVISORS LLC
October 15, 2014 - October 2, 2018
JOSEPH STONE CAPITAL L.L.C.
March 20, 2012 - October 17, 2014
NATIONAL SECURITIES CORPORATION
September 18, 2007 - March 27, 2012
FIRST MIDWEST SECURITIES, INC.
August 9, 2006 - October 17, 2007
AMERICAN CAPITAL PARTNERS, 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
SOVEREIGN GLOBAL ADVISORS LLC
CRD#: 167663 / SEC#: , 8-69274
Contact information
FINRA licenses (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 3,583,152 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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