Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Buttacavoli is an investment advisor representative at Raymond James & Associates, Inc. Frank has over 20 years of experience in the financial services industry and is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). He is a licensed securities representative and has passed a number of industry exams including the Series 7, Series 9, Series 10, Series 31, and the SIE. He is licensed in several states. Frank has previously worked at UBS Financial Services Inc. and LPL Financial LLC. Frank’s experience spans across several areas, including financial planning, portfolio management, and investment advisory services.
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.
Please see note in schedule d - miscellaneous
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.
1
2
NJ
01/14/2020 - Present
Raymond James & Associates, Inc. (PARAMUS NJ)
NJ
07/06/2015 - 10/03/2019
UBS FINANCIAL SERVICES INC. (PARAMUS NJ)
NJ
04/06/2015 - 07/09/2015
LPL FINANCIAL LLC (PARAMUS NJ)
NJ
12/16/1999 - 09/04/2014
UBS FINANCIAL SERVICES INC. (PARAMUS NJ)
BOTH
Issued 03/18/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/14/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/15/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 12/15/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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