Frank R. Monte
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 Rocco Monte, who also goes by Frank R Monte, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1973. Frank had worked at 21 firms and has passed the Series 63, SIE, Series 000, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2013 - March 24, 2020
CHELSEA FINANCIAL SERVICES
February 28, 2013 - November 20, 2013
CLARK DODGE & CO., INC.
September 14, 2012 - March 26, 2013
PHX FINANCIAL, INC.
October 29, 2010 - September 12, 2012
OBSIDIAN FINANCIAL GROUP, LLC
July 21, 2010 - November 1, 2010
NWT FINANCIAL GROUP, LLC
April 23, 2010 - June 29, 2010
FIRST MIDWEST SECURITIES, INC.
October 8, 2009 - April 26, 2010
JHS CAPITAL ADVISORS, LLC
January 31, 2007 - October 8, 2009
WINDSOR STREET CAPITAL, LP
October 16, 2003 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
November 1, 2001 - November 19, 2001
WORLDCO, L.L.C.
February 1, 2001 - October 15, 2003
SANDGRAIN SECURITIES LLC
November 27, 2000 - February 8, 2001
VIPO SECURITIES
March 5, 1998 - December 5, 2000
AUERBACH, POLLAK & RICHARDSON INC.
January 20, 1995 - March 13, 1998
BLUESTONE CAPITAL CORP.
December 11, 1984 - January 12, 1995
D. H. BLAIR & CO., INC.
July 7, 1982 - February 12, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
May 25, 1979 - July 29, 1982
BALIS & ZORN INC.
February 22, 1978 - June 4, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
October 6, 1975 - June 4, 1979
LEHMAN BROTHERS INCORPORATED
August 21, 1973 - November 3, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 23, 1973 - June 24, 1973
MAYFLOWER SECURITIES CO., 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 000
Date: 10/24/1973
General Securities Principal ExaminationSeries 1
Date: 1/18/1973
Registered Representative ExaminationSeries 8
Date: 3/10/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
