Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Michael Frain is a financial professional with over 20 years of experience in the securities industry. Robert is currently registered with Velocity Clearing, LLC, and has held prior registrations with a number of other firms including MATRIX EXECUTIONS, LLC, GTS SECURITIES LLC, MISCHLER FINANCIAL GROUP, INC., and CAPITAL INSTITUTIONAL SERVICES, INC. He holds Series 3, 7, 24, 55, 57TO, and 63 licenses and the SIE designation. Robert has extensive experience in trading and investment management. He is also licensed as a securities agent in Illinois, New Jersey, New York, and Texas.
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.
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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2
NY
12/07/2023 - Present
Velocity Clearing, LLC (New York NY)
IL
12/02/2022 - 11/27/2023
MATRIX EXECUTIONS, LLC (Chicago IL)
NY
09/02/2021 - 09/08/2022
GTS SECURITIES LLC (NEW YORK NY)
CA
08/02/2021 - 08/08/2022
MISCHLER FINANCIAL GROUP, INC. (CORONA DEL MAR CA)
TX
02/21/2018 - 07/23/2021
CAPITAL INSTITUTIONAL SERVICES, INC. (DALLAS TX)
NJ
11/27/2015 - 05/04/2017
BAYES CAPITAL LLC (OLD TAPPAN NJ)
NJ
12/02/2015 - 03/22/2017
BAYES CAPITAL MARKETS LLC (OLD TAPPAN NJ)
IL
12/22/2010 - 11/06/2013
KNIGHT CAPITAL AMERICAS LLC (CHICAGO IL)
NJ
10/07/2008 - 11/08/2012
KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)
NJ
10/07/2008 - 01/03/2011
KNIGHT DIRECT LLC (JERSEY CITY NJ)
IL
03/30/2006 - 07/18/2008
BANC OF AMERICA SECURITIES LLC (CHICAGO IL)
IL
05/15/2002 - 03/02/2006
WAVE SECURITIES, LLC (CHICAGO IL)
TX
10/30/2001 - 12/31/2001
SERVICE ASSET MANAGEMENT COMPANY (AUSTIN TX)
NY
06/11/1999 - 10/15/2001
KNIGHT CAPITAL MARKETS, LLC. (PURCHASE NY)
NY
12/23/1998 - 05/27/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 09/10/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/2024
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2013
Series 3 - National Commodity Futures Examination
BC
Issued 02/01/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/21/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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