Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Di rocco is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Frank is registered to provide investment advice in Florida and Texas. Frank has been in the securities industry since 1981. Frank has passed the Series 7, Series 63 and Series 65 exams. Frank also has experience working with clients such as insurance companies, charitable organizations, high net worth individuals, pension and profit sharing plans, corporations or other businesses, individuals other than high net worth, state or municipal government entities and other clients. Frank provides advisory services such as portfolio management for businesses, portfolio management for individuals, educational seminars, selection of other advisors, and performance measurement reports, allocation modeling, IPS, research reports and services. Frank also has experience working with individuals, corporations, charitable organizations, and pension plans. Frank’s registration with Merrill Lynch, Pierce, Fenner & Smith Inc. is active.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
07/23/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MIAMI FL)
IA
Issued 12/02/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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