Frank D. Gruttadauria
Professional summary
Frank Dominic Gruttadauria was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Frank had worked at 8 firms, which includes LEHMAN BROTHERS INC., COWEN AND COMPANY, FINANCIAL SQUARE PARTNERS, HAMBRECHT & QUIST LLC, L. F. ROTHSCHILD & CO. INCORPORATED, CAMELOT SECURITIES INC., CIBC WORLD MARKETS CORP., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2000 - February 21, 2002
LEHMAN BROTHERS INC.
July 1, 1998 - October 19, 2000
COWEN AND COMPANY
May 12, 1989 - July 1, 1998
FINANCIAL SQUARE PARTNERS
December 2, 1987 - May 22, 1989
HAMBRECHT & QUIST LLC
January 12, 1984 - December 7, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
August 4, 1983 - January 17, 1984
CAMELOT SECURITIES, INC.
September 8, 1982 - August 1, 1983
CIBC WORLD MARKETS CORP.
December 29, 1980 - September 27, 1982
MORGAN STANLEY DW 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
Series 8
Date: 8/18/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
Red Flags
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