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 Joseph Vumbaco
FRANK JOSEPH VUMBACO
CRD#: 4219349
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 98 SPIT BROOK ROAD SUITE 103
NASHUA, NH 03062
Registration History
20002002200420062008201020122014201620182020202220242026IAEDWARD JONES (CRD# 250)2007 - Present (18 years)BEDWARD JONES (CRD# 250)2000 - Present (24 years)
License(s)

State Registrations

B
Arkansas 12/1/2015
IA
New Hampshire 2/27/2007
B
California 8/1/2003
B
New York 11/24/2000
B
Colorado 2/14/2022
B
North Carolina 5/27/2004
B
Connecticut 11/28/2001
B
Ohio 7/20/2023
B
Florida 11/17/2000
B
Oregon 8/4/2008
IA
Florida 1/4/2022
B
Pennsylvania 3/22/2011
B
Georgia 1/30/2015
B
South Carolina 8/29/2008
B
Kentucky 11/26/2019
B
Texas 1/2/2008
B
Louisiana 9/29/2015
IA
Texas 12/18/2018
B
Maine 4/24/2001
B
Utah 10/2/2013
B
Maryland 10/9/2006
B
Vermont 8/23/2004
B
Massachusetts 11/16/2000
B
Virginia 5/27/2004
B
Michigan 11/30/2020
B
Washington 8/4/2008
B
Minnesota 8/12/2021
B
Wisconsin 8/30/2007
B
New Hampshire 9/27/2000

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
EDWARD JONES (CRD#:250)
98 SPIT BROOK ROAD SUITE 103, NASHUA, NH 03062
Palm Beach Gardens, FL
Registered with this firm since 2/27/2007
B
EDWARD JONES (CRD#:250)
98 SPIT BROOK ROAD SUITE 103, NASHUA, NH 03062
Palm Beach Gardens, FL
Registered with this firm since 8/30/2000
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.