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Detailed Report
RICHARD FRANK FRONTERA
CRD#: 837060
IA
Investment Adviser
B
Broker
ESI FINANCIAL ADVISORSCRD#: 265 MELBOURNE, FL
Registration History
19801985199019952000200520102015202020252 FIRMS1977 - 1988 (11 years)IAESI FINANCIAL ADVISORS (CRD# 265)2018 - Present (7 years)BEQUITY SERVICES, INC. (CRD# 265)1991 - Present (34 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1988 - 1991 (2 years)
License(s)

State Registrations

B
Florida 7/27/2004
B
New York 4/22/1991
IA
Florida 2/5/2018
B
South Carolina 1/14/2021
B
New Jersey 2/27/2023

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
ESI FINANCIAL ADVISORS (CRD#:265)
MELBOURNE, FL
Registered with this firm since 2/5/2018
B
EQUITY SERVICES, INC. (CRD#:265)
MELBOURNE, FL
Registered with this firm since 3/14/1991
Previous Registration(s)
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B
 06/14/1988 - 01/10/1991 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
B
 05/02/1977 - 05/31/1988 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181)
B
 05/02/1977 - 05/26/1988 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468)
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.