Frank Canon
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 Canon, who also goes by Frank Anderson Canon-grajales, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2012. Frank had worked at 2 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 7TO, SIE, Series 19 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2021 - August 15, 2024
DRIVEWEALTH, LLC
October 15, 2012 - August 15, 2024
DRIVEWEALTH INSTITUTIONAL 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
Series 99TO
Date: 3/29/2021
Operations Professional ExaminationSeries 57TO
Date: 11/23/2020
Securities Trader ExamSeries 7TO
Date: 10/8/2019
General Securities Representative ExaminationSeries 19
Date: 6/23/2016
NYSE Floor Clerk - Equities ExaminationSeries 25
Date: 5/14/2015
NYSE Trading Assistant ExaminationCurrent Firm
DRIVEWEALTH, LLC
CRD#: 165429 / SEC#: , 8-69161
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS, INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | COO | 2262100 |
| LAMKE, JAMES DANIEL | CHIEF COMPLIANCE OFFICER | 1418047 |
| PALAPARTHI, VENU MADHAV | CHIEF EXECUTIVE OFFICER | 2437777 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
Disclosures
| Regulatory Event | 1 |
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.
