Frank C. Boccia
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 Boccia was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1980. Frank had worked at 14 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2012 - May 25, 2012
FIRST SOUTHERN SECURITIES, LLC.
March 18, 2011 - November 1, 2013
CERTUSSECURITIES, INC.
August 11, 2010 - March 16, 2011
ROCKWELL GLOBAL CAPITAL LLC
December 12, 2005 - May 1, 2008
FINANCE 500, INC.
February 13, 2003 - December 12, 2005
TRADITION SECURITIES AND DERIVATIVES LLC
May 3, 2001 - June 26, 2002
DEUTSCHE IXE, LLC
October 23, 1997 - April 26, 2001
MORGAN KEEGAN & COMPANY, LLC
January 14, 1993 - October 17, 1997
WACHOVIA SECURITIES, INC.
December 1, 1992 - February 17, 1993
REICH & CO., INC.
December 21, 1990 - December 1, 1992
REICH & CO., INC.
June 29, 1989 - December 17, 1990
GLOBAL AMERICA INCORPORATED
May 24, 1988 - June 19, 1989
HIBBARD BROWN & CO., INC.
February 2, 1987 - May 31, 1988
SHERWOOD CAPITAL, INC.
October 24, 1980 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
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
Current Firm
FIRST SOUTHERN SECURITIES, LLC.
CRD#: 153133 / SEC#: , 8-68503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EILER, BENJAMIN THOMAS | OWNER | 3063023 |
| HAWK, WILLIAM HEATH | PRESIDENT / CEO / ROSFP / MP | 2494928 |
| SFYRIS, VASILEIOS ALEXIOS | MANAGING PARTNER/POO | 4026992 |
| PAGAN MARXUACH, RAFAEL ANTONIO | OWNER | 2863850 |
| HOLMAN, JOHN MICHAEL | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | 1858866 |
| JACKELS, STEPHANIE KANE | FINOP/PFO | 5928877 |
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.
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