FC
Frank H. Chiappone
RMR WEALTH MANAGEMENT
Clifton Park, NY
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CRD#: 728092
FC
Professional summary
Frank Henry Chiappone, who also goes by Frank H Chiappone, is a registered financial advisor currently at RMR WEALTH MANAGEMENT located in Clifton Park, New York and DINOSAUR FINANCIAL GROUP, L.L.C located in Killington, Vermont.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Frank has worked at 7 firms and has passed the Series 65, Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank H Chiappone
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.
Ameritas Financial; Not investment related; 1876 Waycross Rd Cincinnati, OH 45240' Position: Sales Person; About 1/2 and hr to 1 hr a week; life and disability insurance sales. Mass Mutual Life Insurance Company; Not investment related;51 Madison Ave, New York, NY 10010; Position: Advisor; 6/28/2023; About 10hrs per week. About 5 hrs per week, during securities trading hours; Fixed Annuity and Life Insurance sales Mutual Of Omaha Insurance Company of America; Not investment related; Mutual of Omaha Plaza 3300 Omaha, NE 68175; Position: Financial Advisor; 11/22/2022; About 10hrs per week. About 5 hrs per week, during securities trading hours; Long Term Care Insurance Carrier National Life of Vermont; Not investment related; 1 National Life Dr. Montpelier, Vt 05604; Position: Agent; 12/26/2019; About 10hrs per week. About 5 hrs per week, during securities trading hours; Sale of Life Insurance Nationwide Life Ins. Co. of New York; Not investment related; 1 West Nationwide Blvd. Columbus, OH 43215; Position: Agent; 1/08/2020; About 10hrs per week. About 5 hrs per week, during securities trading hours; Sale of Life Insurance products (non-investment) New York Life Ins. Co. of NY; Not investment related; 51 Madison Ave New York, NY 10010; Position: Agent; 10/01/2019; About 10hrs per week. About 5 hrs per week, during securities trading hours; Life Insurance Sales Principal Life Insurance Company; Not investment related; 711 High St. Des Moines, IA 50392; Position: Agent; 2/10/2024; About 10hrs per week. About 5 hrs per week, during securities trading hours; Sale of Life insurance policies Prudential Insurance Co. of America; Not investment related; 751 Broad St. Newark, NJ 07102; Position: Agent; 08/28/2019; About 10hrs per week. About 5 hrs per week, during securities trading hours; Sale of Life Insurance (Fixed not variable) Security Mutual Life Insurance Company; Not investment related; 100 Court Street Binghamton, NY 13902; Position: Agent; 08/2019; About 10hrs per week. About 5 hrs per week, during securities trading hours; Sale of Life insurance products True Freedom Nationwide Home Care; Not investment related; 8250 Bryan Dairy Rd. Suite 350 Largo, Fl. 33777; Position: Account Executive; 7/20/2022; About 10hrs per week. About 5 hrs per week, during securities trading hours; Provider of Home Care options for seniors Trustmark Insurance Company; Not investment related; 400N. field Drive Lake Forrest, IL 60045; Position: Sales; 05/06/2024; About 10hrs per week. About 5 hrs per week, during securities trading hours; Voluntary Life insurance United States Life Ins. Co. In the City of New York; Not investment related; 599 Lexington Ave. New York, NY 10022; Position: Agent; 07/26/2019; About 10hrs per week. About 5 hrs per week, during securities trading hours; Sale of Life Insurance (non-investment) William Penn Life Ins. Co. of NY; Not investment related; 3275 Bennett Creek Ave. Frederick, Md.21704; Position: Agent; 10/13/2021; About 10hrs per week. About 5 hrs per week, during securities trading hours; Life Insurance Sales
CRS (Client Relationship Summary) - RIA
Click below to view Frank Henry Chiappone'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®
NoneExperience
Current
November 21, 2019 - Present
RMR WEALTH MANAGEMENT
RIA
CRD#: 152266
Clifton Park, NY
Current
January 4, 2010 - Present
DINOSAUR FINANCIAL GROUP, L.L.C
BD
CRD#: 104446
Killington, VT
Past
March 8, 2012 - January 11, 2018
ETICO WEALTH MANAGEMENT LLC
RIA
CRD#: 151046
CLIFTON PARK, NY
Past
February 2, 1989 - December 31, 2009
MCGINN, SMITH & CO., INC.
BD
CRD#: 8453
CLIFTON PARK, NY
Past
January 18, 1988 - August 15, 1988
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
February 2, 1987 - March 16, 1988
SHERWOOD CAPITAL, INC.
BD
CRD#: 10474
Past
April 13, 1981 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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".
RW
RMR WEALTH MANAGEMENT
RMR WEALTH MANAGEMENT
CRD#: 152266 / SEC#: 801-70823
RIA
Registered Investment Advisory firm - (11/24/2009 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(2/17/2011)
RR
Colorado(1/4/2010)
RR
Connecticut(1/4/2010)
RR
Florida(1/4/2010)
RR
Massachusetts(1/28/2010)
RR
Nevada(7/12/2021)
RR
New Jersey(1/4/2010)
IAR
New Jersey(11/21/2019)
RR
New York(1/4/2010)
IAR
New York(11/30/2021)
RR
North Carolina(8/17/2011)
RR
Vermont(2/3/2010)
RR
Virginia(1/25/2010)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RW
RMR WEALTH MANAGEMENT
RMR WEALTH MANAGEMENT
CRD#: 152266 / SEC#: 801-70823
RIA
Registered Investment Advisory firm - (11/24/2009 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14 Penn Plaza Ste 1316, New York, NY 10122
Mailing Address
Phone number
(212) 785-4377
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 208 |
| AUM (Assets Under Management) | $ 135,788,693 |
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.
