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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 Esposto is an investment professional with over 38 years of experience in the financial services industry. Frank is currently registered with Morgan Stanley and holds the Series 31, Series 7 and SIE licenses. Frank was previously registered with Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Prudential Securities Incorporated, Smith Barney Shearson Inc., Lehman Brothers Inc. and ISFA Corporation. Frank's experience includes working with investment clubs, insurance companies, investment companies, charitable organizations, high-net-worth individuals, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses and individuals other than high-net-worth. Frank is a skilled financial advisor who has extensive experience in providing investment advice to a wide range of clients.
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
PA
08/16/2022 - Present
Morgan Stanley (Philadelphia PA)
PA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PHILADELPHIA PA)
PA
11/14/1997 - 04/02/2007
MORGAN STANLEY DW INC. (PHILADELPHIA PA)
NY
09/17/1993 - 11/06/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 09/24/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
06/27/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/15/1985 - 07/09/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
12/04/1984 - 07/03/1985
ISFA CORPORATION
NA
01/25/1984 - 09/28/1984
CHARLES SCHWAB & CO., INC.
BC
Issued 01/25/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 01/21/1984
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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