Frank A. Abruzzese
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 Abruzzese SR, who also goes by Frank Anthony Abruzzese, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1976. Frank had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, PC, Series 5, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2009 - January 31, 2023
BOENNING & SCATTERGOOD, INC.
August 18, 2005 - October 6, 2009
UBS FINANCIAL SERVICES INC.
July 15, 2003 - February 4, 2005
CAROLINA CAPITAL MARKETS, INC.
May 28, 1997 - July 30, 2001
INVESTEC INC.
April 5, 1995 - May 30, 1997
REPUBLIC NEW YORK SECURITIES CORPORATION
May 14, 1988 - January 1, 1993
LEHMAN BROTHERS INC.
February 1, 1988 - April 4, 1995
PRUDENTIAL EQUITY GROUP, LLC
November 10, 1980 - May 14, 1988
E. F. HUTTON & COMPANY INC
June 21, 1978 - November 15, 1980
SCHRODER & CO. INC.
September 1, 1976 - May 16, 1978
WHITE, WELD & CO. INCORPORATED
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
PC
Date: 10/16/1981
AMEX Put and Call ExamSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 8
Date: 3/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BOENNING & SCATTERGOOD, INC.
CRD#: 100 / SEC#: 801-68111, 8-15543
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOENNING & SCATTERGOOD HOLDINGS | HOLDING CO OF BOENNING & SCATTERGOOD INC | |
| MADDALONI, ANDREW MICHAEL | DIRECTOR | 2825865 |
| MARA, GEORGE MICHAEL JR | CHIEF COMPLIANCE OFFICER | 1574331 |
| MARA, GEORGE MICHAEL JR | PRESIDENT | 1574331 |
| SCATTERGOOD, HAROLD FRANCIS JR | DIRECTOR | 412133 |
| STANNARD, JEFFREY TAPPAN | DIRECTOR | 1337225 |
| WEIGAND, DALE ROBERT | DIRECTOR, CHIEF FINANCIAL OFFICER,FINOP | 1374549 |
Regulatory assets under management
| Total Number of Accounts | 1,321 |
| AUM (Assets Under Management) | $ 1,157,621,985 |
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
