Frank A. Donnelly

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CRD#: 70089

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 Albert Donnelly was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1970. Frank had worked at 18 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 11, 2002 - December 31, 2018

GMS GROUP

CRD#: 8000

BOCA RATON, FL

Past

June 22, 2001 - June 24, 2002

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

March 21, 2001 - June 22, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 25, 1989 - March 27, 2001

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

August 7, 1985 - January 28, 1988

GMS GROUP

CRD#: 8000

Past

August 7, 1985 - December 31, 1988

MOORE & SCHLEY, CAMERON & CO.

CRD#: 6917

Past

May 29, 1985 - August 9, 1985

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

July 11, 1983 - April 29, 1985

BEVILL, BRESLER & SCHULMAN INCORPORATED

CRD#: 6971

Past

July 19, 1982 - June 27, 1983

HANAUER, STERN & COMPANY,INCORPORATED

CRD#: 7077

Past

April 30, 1981 - July 1, 1982

DONALD SHELDON & CO., INC.

CRD#: 6966

Past

September 17, 1980 - March 3, 1981

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

March 12, 1980 - September 19, 1980

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

May 14, 1979 - March 28, 1980

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

January 5, 1979 - May 23, 1979

MORGAN STANLEY DW INC.

CRD#: 7556

Past

May 2, 1978 - January 12, 1979

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

November 1, 1977 - May 10, 1978

LEGEL, BRASWELL SECURITIES CORP.

CRD#: 7082

Past

April 29, 1977 - September 12, 1977

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

April 21, 1976 - May 9, 1977

WINTERS & COMPANY, INC.

CRD#: 6944

Past

August 30, 1971 - March 2, 1973

HIBBARD OCONNOR & WEEKS

CRD#: 1000002

Past

March 3, 1970 - February 11, 1971

ALLSTATE ENTERPRISES MANAGEMENT COMPANY

CRD#: 4037

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GMS GROUP

CRD#: 8000 / SEC#: 801-126662, 8-23936

RIA

Registered Investment Advisory firm - SEC (11/22/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (1/8/2007 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/25/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/10/1976

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 2/26/1970

Registered Representative Examination

Current Firm

GMS GROUP

CRD#: 8000 / SEC#: 801-126662, 8-23936

RIA

Registered Investment Advisory firm - SEC (11/22/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (1/8/2007 Terminated)

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

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Contact information

Main Address

120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936

Mailing Address

120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936

Phone number

(973) 535-5000

Established

Delaware since 03/05/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THE GMS GROUP DISCLOSURE BROCHURE (7/8/2025)

Direct owners and executive officers

Name	Position	CRD#
GMS GROUP HOLDINGS CORP	MEMBER
CAPONE, CARMINE CLAUDIO	EXECUTIVE VICE PRESIDENT/DIRECTOR	1124455
DEMBOWSKI, DANIELLE DENISE	CHIEF FINANCIAL OFFICER	5855269
DONOHUE, TIMOTHY JOSEPH	SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO	725373
DONOHUE, TIMOTHY JOSEPH	PRESIDENT	725373
ESTANISLAO, LEONARDO	CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR	4622553
FELDMAN, JUSTYN SETH	SENIOR VICE PRESIDENT - DIRECTOR	2283535
FELDMAN, MELVIN	DIRECTOR, SR VICE PRESIDENT	205924
KONSIG, PAUL ROBERT	CEO	500443
KONSIG, PAUL ROBERT	DIRECTOR	500443
KOROSTOFF, DAVID BRUCE	DIRECTOR, SR. VICE PRESIDENT	1205712
LENZI, JEFFREY PAUL	SENIOR VICE PRESIDENT/DIRECTOR	2452390
LIPMAN, MATTHEW ERIC	SECRETARY	2367335
MANTE, PAUL DAVID	SENIOR VICE PRESIDENT - DIRECTOR	4911949
MCKENNA, MICHAEL JAMES	EXECUTIVE VICE PRESIDENT	1524460
PRICE, BARBARA BENEDICT	DIRECTOR, SR. VICE PRESIDENT	17944
VESSELS, STEPHEN GLENN	SENIOR VICE PRESIDENT/DIRECTOR	2403660

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 13,887,060

Disclosures

Regulatory Event	7
Arbitration	10

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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Firm Stability Insights

Frank A. Donnelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JANNEY MONTGOMERY SCOTT LLC

WELLS FARGO CLEARING SERVICES, LLC

GMS GROUP

GMS GROUP

MOORE & SCHLEY, CAMERON & CO.

CITIGROUP GLOBAL MARKETS INC.

BEVILL, BRESLER & SCHULMAN INCORPORATED

HANAUER, STERN & COMPANY,INCORPORATED

DONALD SHELDON & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

CIBC WORLD MARKETS CORP.

MORGAN STANLEY DW INC.

THOMSON MCKINNON SECURITIES INC.

LEGEL, BRASWELL SECURITIES CORP.

DREXEL BURNHAM LAMBERT INCORPORATED

WINTERS & COMPANY, INC.

HIBBARD OCONNOR & WEEKS

ALLSTATE ENTERPRISES MANAGEMENT COMPANY

Primary Firm SEC Registration

GMS GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/1979

SIE

Date: 10/1/2018

Series 7

Date: 4/10/1976

Series 1

Date: 2/26/1970

Current Firm

GMS GROUP

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GMS GROUP

TRUST BUT VERIFY

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