Frank C. Dalto
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 Charles Dalto, who also goes by Frank C Dalto, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1968. Frank had worked at 4 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2004 - July 30, 2015
DALTO FINANCIAL
December 16, 2003 - March 31, 2004
MORGAN STANLEY DW INC.
December 14, 1992 - March 31, 2004
MORGAN STANLEY DW INC.
February 24, 1978 - December 7, 1992
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
November 1, 1968 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
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 1
Date: 12/22/1967
Registered Representative ExaminationCurrent Firm
DALTO FINANCIAL
CRD#: 130396 / SEC#:
Contact information
Red Flags
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