• 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.
FRANK MASTROSIMONE
CRD#: 322615
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 110 ALLEN ROAD
2ND FLOOR
BASKING RIDGE, NJ 07920
Registration History
197519801985199019952000200520102015202020252 FIRMS2020 - 2024 (4 years)2 FIRMS2024 - Present (<1 year)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2004 - 2020 (16 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)1989 - 2004 (14 years)BPENNSYLVANIA SECURITIES COMPANY (CRD# 7667)1986 - 1989 (3 years)BGREENTREE SECURITIES CORP. (CRD# 7372)1984 - 1986 (1 year)BBOND, RICHMAN & CO., INC. (CRD# 1270)1976 - 1979 (2 years)BPHILIPS, APPEL & WALDEN, INC. (CRD# 659)1975 - 1976 (1 year)BMAYFLOWER SECURITIES CO., INC. (CRD# 562)1971 - 1975 (4 years)BMAYHILL AGENCY, INC. (CRD# 6237)1973 - 1974 (1 year)IAROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2005 - 2019 (14 years)
Disclosure(s)
View By:
8/4/2021
Customer Dispute
Settled
8/11/1987
Regulatory
Final
11/4/1986
Regulatory
Final
11/30/1983
Criminal
Final Disposition
License(s)

State Registrations

B
Florida 11/19/2024

IA
New Jersey 11/14/2024

B
New Jersey 11/14/2024

B
New York 11/14/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
110 ALLEN ROAD 2ND FLOOR, BASKING RIDGE, NJ 07920
Registered with this firm since 11/14/2024

B
LPL ENTERPRISE, LLC (CRD#:8733)
110 ALLEN ROAD 2ND FLOOR, BASKING RIDGE, NJ 07920
Registered with this firm since 11/14/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/05/2020 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Basking Ridge, NJ
B
01/15/2020 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) Basking Ridge, NJ
B
01/20/2004 - 01/06/2020 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) WEST ORANGE, NJ
IA
09/16/2005 - 12/31/2019 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) WEST ORANGE, NJ
B
05/23/1989 - 01/16/2004 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
B
03/05/1986 - 05/23/1989 PENNSYLVANIA SECURITIES COMPANY (CRD#:7667)
B
12/07/1984 - 02/20/1986 GREENTREE SECURITIES CORP. (CRD#:7372)
B
11/12/1976 - 04/05/1979 BOND, RICHMAN & CO., INC. (CRD#:1270)
B
04/14/1975 - 12/09/1976 PHILIPS, APPEL & WALDEN, INC. (CRD#:659)
B
03/08/1971 - 05/10/1975 MAYFLOWER SECURITIES CO., INC. (CRD#:562)
B
07/16/1973 - 12/27/1974 MAYHILL AGENCY, INC. (CRD#:6237)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.