Articles Tagged with Frank DePaola

Frank DePaolaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that New Jersey-based Securities America and Lincoln Financial Securities Corporation broker/adviser Frank DePaola has been involved in a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. DePaola (CRD# 1253587).

Frank DePaola has spent 31 years in the securities industry and has been registered with Securities America in Iselin, New Jersey since December 2017, and with Lincoln Financial Securities Corporation in Pompton Plains, New Jersey since May 2017. Previous registrations include Hornor, Townsend & Kent in Edison, New Jersey (2002-2017); 1717 Capital Management in Newark, Delaware (1989-2002); Mony Securities Corporation (1986-1989); Calvert Securities Corporation (1985-1986); and Integrated Resources Equity Corporation (1985). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 26, 1994; Series 7 (General Securities Representative Examination), which he obtained on January 19, 1985; and Series 24 (General Securities Principal Examination), which he obtained on December 1, 1993. He is registered as a broker and an investment adviser in New Jersey.

According to his BrokerCheck report, he has received one customer complaint and one state regulatory sanction.