Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Santi has been a registered investment advisor for over 20 years and is currently an active advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Frank specializes in providing a range of services, including financial planning, portfolio management, and selection of other advisors. Frank has a strong track record of success in helping clients achieve their financial goals. Prior to joining Merrill Lynch, Frank has held positions with Allianz Life Financial Services, LLC, State Farm VP Management Corp., Sun Life Financial Distributors, Inc., Nationwide Investment Services Corporation, AXA Distributors, LLC, Guardian Investor Services LLC, Manulife Financial Securities LLC, and Manulife Wood Logan, Inc. Frank holds multiple licenses and certifications, including Series 6, 7, 63, 65, and 66. Frank is committed to providing his clients with the highest level of personalized service and expertise.
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
CT
09/17/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GUILFORD CT)
MN
10/19/2010 - 08/24/2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC (MINNEAPOLIS MN)
IL
07/30/2009 - 10/14/2010
STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)
MA
02/15/2008 - 02/13/2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
MD
11/22/2005 - 12/21/2007
NATIONWIDE INVESTMENT SERVICES CORPORATION (PHOENIX MD)
NC
01/10/2005 - 11/21/2005
AXA DISTRIBUTORS, LLC (CHARLOTTE NC)
NY
10/14/2002 - 01/07/2005
GUARDIAN INVESTOR SERVICES LLC (NEW YORK NY)
MA
01/01/2002 - 04/05/2002
MANULIFE FINANCIAL SECURITIES LLC (BOSTON MA)
CT
09/24/1999 - 01/01/2002
MANULIFE WOOD LOGAN, INC. (STAMFORD CT)
BOTH
Issued 11/30/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 4/9/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/9/2004
Series 7 - General Securities Representative Examination
BC
Issued 9/23/1999
Series 6 - Investment Company Products/Variable Contracts 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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