Frank A. Carrazza
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 Anthony Carrazza JR was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1976. Frank had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2011 - December 31, 2017
ST. GERMAIN INVESTMENT MANAGEMENT
October 1, 2011 - December 31, 2017
ST. GERMAIN SECURITIES, INC.
November 15, 1998 - October 3, 2011
COMMONWEALTH FINANCIAL NETWORK
February 11, 1995 - October 3, 2011
COMMONWEALTH FINANCIAL NETWORK
April 14, 1994 - December 31, 2011
FRANK A. CARRAZZA, JR. FINANCIAL PLANNING
March 16, 1993 - January 31, 1995
G.R. STUART & COMPANY, INC.
February 14, 1990 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
July 12, 1983 - February 5, 1990
UBS FINANCIAL SERVICES INC.
July 12, 1982 - December 14, 1983
MBA EQUITY INVESTMENT CORPORATION
April 26, 1981 - November 4, 1986
ILG SECURITIES CORPORATION
October 13, 1978 - July 23, 1982
ADVANTAGE CAPITAL CORPORATION
August 20, 1976 - November 18, 1978
GUARDIAN INVESTOR SERVICES LLC
July 1, 1976 - August 16, 1976
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
ST. GERMAIN INVESTMENT MANAGEMENT
CRD#: 155186 / SEC#: 801-12471
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 1
Date: 6/24/1976
Registered Representative ExaminationCurrent Firm
ST. GERMAIN INVESTMENT MANAGEMENT
CRD#: 155186 / SEC#: 801-12471
Contact information
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,159 |
| AUM (Assets Under Management) | $ 3,099,684,697 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 01/22/2024 | ||
| 12/20/2022 |
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.
