Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
FRANK VALLOROSI
FRANK PATRICK VALLOROSI
CRD#: 3154623
IA
Investment Adviser
B
Broker
FOCUS FINANCIALCRD#: 116140 CORTLANDT MANOR, NY
OSAIC WEALTH, INC.CRD#: 23131 1300 GODWARD ST NE
SUITE 5500
MINNEAPOLIS, MN 55413
Registration History
20002002200420062008201020122014201620182020202220242026IAFOCUS FINANCIAL (CRD# 116140)2022 - Present (3 years)IAOSAIC WEALTH, INC. (CRD# 23131)2009 - Present (15 years)BOSAIC WEALTH, INC. (CRD# 23131)2007 - Present (17 years)BAXA ADVISORS, LLC (CRD# 6627)2006 - 2007 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2004 - 2006 (1 year)BDIVERSIFIED INVESTORS SECURITI... (CRD# 32205)2001 - 2004 (2 years)BWIT CAPITAL CORPORATION (CRD# 41499)2000 - 2000 (<1 year)BDAVID LERNER ASSOCIATES, INC. (CRD# 5397)1999 - 2000 (<1 year)
License(s)

State Registrations

B
Minnesota 8/31/2021
B
New York 8/3/2007
IA
Minnesota 9/1/2021
IA
New York 2/3/2022
IA
New Jersey 12/15/2009

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FOCUS FINANCIAL (CRD#:116140)
CORTLANDT MANOR, NY
Registered with this firm since 2/3/2022
IA
OSAIC WEALTH, INC. (CRD#:23131)
1300 GODWARD ST NE SUITE 5500, MINNEAPOLIS, MN 55413
Registered with this firm since 12/15/2009
B
OSAIC WEALTH, INC. (CRD#:23131)
1300 GODWARD ST NE SUITE 5500, MINNEAPOLIS, MN 55413
Registered with this firm since 8/3/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/17/2006 - 01/12/2007 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 09/01/2004 - 03/10/2006 MORGAN STANLEY DW INC. (CRD#:7556) WHITE PLAINS, NY
B
 04/02/2001 - 03/31/2004 DIVERSIFIED INVESTORS SECURITIES CORP. (CRD#:32205) HARRISON, NY
B
 06/02/2000 - 12/22/2000 WIT CAPITAL CORPORATION (CRD#:41499) OLD GREENWICH, CT
B
 07/09/1999 - 04/05/2000 DAVID LERNER ASSOCIATES, INC. (CRD#:5397) SYOSSET, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.