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Franco Vincent Zappone

Maxim Group LLC

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About Franco Vincent Zappone

Franco Vincent Zappone is a financial professional with over 30 years of experience in the industry. Franco is currently registered with Maxim Group LLC and has previously worked with several other firms including Investec Ernst & Company, GKN Securities Corp., Gruntal & Co., L.L.C. and D. H. Blair & Co., INC. Franco is registered in 52 states and holds multiple securities licenses, including Series 7, 24, 55, 63, 8, 9, 10, SIE, 57TO and 99TO. Franco's experience, certifications and registration make Franco a well-rounded financial advisor.

Firm Information

Franco Zappone is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Franco Zappone’s Registration & Firm History

FL

10/23/2002 - Present

Maxim Group LLC (Ft Lauderdale FL)

NY

12/18/2000 - 10/23/2002

INVESTEC ERNST & COMPANY (NEW YORK NY)

NY

07/30/1997 - 12/18/2000

GKN SECURITIES CORP. (NEW YORK NY)

NY

07/20/1992 - 08/19/1997

GRUNTAL & CO., L.L.C. (NEW YORK NY)

NY

07/31/1991 - 07/21/1992

GKN SECURITIES CORP. (NEW YORK NY)

NA

02/05/1990 - 09/05/1991

D. H. BLAIR & CO., INC.

NY

08/23/1988 - 09/05/1991

D. H. BLAIR & CO., INC. (NEW YORK NY)

NY

10/19/1989 - 12/21/1989

GRUNTAL & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/23/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/22/1997

Series 24 - General Securities Principal Examination

BC

Issued 01/24/1996

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/23/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/20/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Franco Vincent Zappone. Review regulatory record here.
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