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Frank Anthony Tata

Daiwa Capital Markets America Inc.

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About Frank Anthony Tata

Frank Anthony Tata is a financial professional with over 27 years of experience in the financial industry. Frank has worked at several firms including Waterhouse Securities, Inc., Prudential-Bache Securities Inc., ING BARING FURMAN SELZ LLC, BT ALEX. BROWN INCORPORATED, DAIWA SECURITIES AMERICA INC., FIMAT USA, LLC, and currently at Daiwa Capital Markets America Inc.. Frank has a Series 7, Series 63, Series 99TO and SIE.

Firm Information

Frank Tata is currently registered with Daiwa Capital Markets America Inc.. Daiwa Capital Markets America Inc. is a corporation formed on December 8, 1964, and is registered in all 50 U.S. states, the District of Columbia, and Puerto Rico. The firm has been approved by the SEC and has a total of 53 registrations.

Not reported

Assets Under Management

Not reported

Total Clients

69

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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Frank Tata’s Registration & Firm History

NY

07/18/2006 - Present

Daiwa Capital Markets America Inc. (NEW YORK NY)

NY

01/24/2005 - 07/17/2006

FIMAT USA, LLC (NEW YORK NY)

NY

11/03/2000 - 02/18/2003

DAIWA SECURITIES AMERICA INC. (NEW YORK NY)

NY

07/07/1998 - 01/05/1999

ING BARING FURMAN SELZ LLC (NEW YORK NY)

MD

12/01/1995 - 07/07/1998

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

NE

03/14/1992 - 03/02/1994

WATERHOUSE SECURITIES, INC. (OMAHA NE)

NY

06/21/1988 - 10/22/1990

PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/30/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Frank Anthony Tata.
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