Frank Derose
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 Derose was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1978. Frank had worked at 9 firms and has passed the Series 63, Series 7, Series 3 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2001 - May 3, 2005
CHARTER ONE SECURITIES, INC.
October 11, 2000 - April 4, 2001
IFMG SECURITIES, INC.
January 20, 2000 - September 5, 2000
CUNA BROKERAGE SERVICES, INC.
October 23, 1999 - December 21, 1999
WOODBURY FINANCIAL SERVICES, INC.
September 20, 1996 - December 31, 1998
SECU BROKERAGE SERVICES
May 29, 1996 - September 25, 1996
NETWORK CAPITAL CORPORATION
May 2, 1984 - July 8, 1991
MORGAN STANLEY DW INC.
November 19, 1980 - June 25, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 1978 - December 20, 1980
MANLEY, BENNETT, MCDONALD & CO
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 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
CHARTER ONE SECURITIES, INC.
CRD#: 13373 / SEC#: , 8-29142
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARTER ONE BANK, N.A. | SHAREHOLDER | |
| ANGUISH, JOSEPH EDWARD | CHIEF COMPLIANCE OFFICER | 1263738 |
| EISENHARDT, HOWARD | SECRETARY | |
| GUILFOYLE, KATHLEEN MARGARET | CHIEF FINANCIAL OFFICER | 4728634 |
| HOLLISTER, THOMAS JAMES | CHAIRMAN | |
| KOPP, BRADFORD BURNETT | DIRECTOR | 860833 |
| MILLARD, MICHAEL GERARD | CHIEF EXECUTIVE OFFICER / PRESIDENT | 722703 |
Disclosures
| Regulatory Event | 2 |
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.
