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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Roccisano is a financial advisor with Morgan Stanley in Louisville, KY. Frank has been in the industry since December 1993 and has worked for several firms including UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Lehman Brothers Inc. Frank is registered to provide financial advice and securities trading in Kentucky and Texas. Frank has a variety of specializations including portfolio management, financial planning and pension consulting. Frank also works with a variety of client types including high net worth individuals, insurance companies, investment companies, charitable organizations, and pension and profit sharing plans.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
KY
02/20/2020 - Present
Morgan Stanley (Louisville KY)
KY
02/11/1999 - 10/04/2011
UBS FINANCIAL SERVICES INC. (LOUISVILLE KY)
NY
06/14/1996 - 02/04/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/01/1993 - 06/28/1996
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 03/06/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/07/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/21/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/22/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2006
Series 3 - National Commodity Futures Examination
BC
Issued 11/30/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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