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Frank Joseph Privitera

FENIMORE SECURITIES
COBLESKILL, NY
·CRD# 6105411·14 years experience

Professional Summary

Frank Joseph Privitera, who also goes by Francis Joseph Privitera, is a registered financial advisor currently at FENIMORE SECURITIES, INC. located in Cobleskill, New York. Frank is registered as a RR (Registered Representative) and started their career in finance in 2012. Frank has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Francis Joseph Privitera

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

14 years in the financial services industry

Current & Past Employments

FENIMORE SECURITIES, INC.·CRD# 104391
BD
1. 384 North Grand Street P. O. Box 399, Cobleskill, NY 120432. 384 North Grand Street-box 399, Cobleskill, NY 12043
October 19, 2012 - Present

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Current Firm

FS
FENIMORE SECURITIES, INC.

FENIMORE SECURITIES, INC.

CRD#: 104391 / SEC#: 8-52854
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Contact Information

Main Address

384 North Grand Street-box 399, Cobleskill, NY 12043

Mailing Address

384 North Grand Street - Box 399, Cobleskill, NY 12043

Phone Number

(518) 234-7400

Established

New York since 05/26/2000

Firm Type

Corporation

Fiscal Year End

September

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PUTNAM, THOMAS OLIVERCHAIRMAN2347052
BALBOA, MICHAEL FRANKSECRETARY / TREASURER / PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER6635684
SNYDER, CHRISTIANPRESIDENT6955532
VOOS, VIRGINIA LAWRENCECHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER4576740

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
New York
(7/2/2018)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2018About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 2012About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Frank Joseph Privitera's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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FP
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