Aaron M. Frank

NATIONAL FINANCIAL SERVICES LLC

Smithfield, RI 02917

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CRD#: 6599906

Professional summary

Aaron M Frank, who also goes by Aaron Maurice Frank, Aaron Frank, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.

Aaron is registered as a RR (Registered Representative) and started their career in finance in 2016. Aaron has worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Aaron Maurice Frank | Aaron Frank

Other business activities

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.

AMF Resale; Sole proprietor/owner; Buying and reselling secondhand items online or via community sales; 5-10 hours per month; Start date: 05/2022.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Aaron M Frank's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 7, 2023 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917

CRD#: 13041

Smithfield, RI

Past

March 12, 2021 - May 9, 2023

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

JOHNSTON, RI

Past

March 12, 2021 - May 9, 2023

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

August 26, 2020 - March 1, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LINCOLN, RI

Past

August 21, 2020 - March 1, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LINCOLN, RI

Past

March 31, 2016 - July 23, 2020

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/24/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/16/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 11/7/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/31/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NATIONAL FINANCIAL SERVICES LLC

NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041 / SEC#: 801-50706, 8-26740

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

245 Summer Street Mail Zone Z2h, Boston, MA 02210

Mailing Address

Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262

Phone number

(617) 563-7000

Established

Delaware since 06/08/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

2,100

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.	SOLE MEMBER
ADAMS, ROBERT JOHN	CHIEF OPERATIONS OFFICER/ELECTED MANAGER	1291582
CRUPI, KAREN MICHELE	CHIEF LEGAL OFFICER	2982229
DEPOALO, RONALD EDWARD	PRESIDENT	5995085
DYER, JANET MARIE	CHIEF COMPLIANCE OFFICER	3186352
RHODES, NOAH BUTLER	CHIEF FINANCIAL OFFICER	6546392
TESAURO, THOMAS JOHN	ELECTED MANAGER	1862532

Disclosures

Regulatory Event	47
Civil Event	1
Arbitration	14

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.

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Advisor Monitoring

Firm Stability Insights

Aaron M. Frank

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Aaron M Frank's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2020

Series 63

Date: 5/16/2016

Series 99TO

Date: 11/7/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/31/2016

FINRA

Current Firm

NATIONAL FINANCIAL SERVICES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONAL FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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