Frank Anthony Germana

Employer firm

Bny Mellon Advisors, Inc. CRD 106108

$33.5B regulatory AUM 22 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
MUTUAL FUND SCREENING, MODEL PORTFOLIO DELIVERY, MANAGER RESEARCH

From the firm’s Form ADV. Read the guides:

Current Employers

Bny Mellon Advisors, Inc.

200 Park Avenue, New York, NY 10166 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2026-04-13
LA	RA	APPROVED	2026-01-27
FL	RA	APPROVED	2026-01-08
AZ	RA	APPROVED	2026-01-02
MA	RA	APPROVED	2025-11-26
ND	RA	APPROVED	2025-11-06
NE	RA	APPROVED	2025-10-31
NV	RA	APPROVED	2025-10-30
NM	RA	APPROVED	2025-10-30
WV	RA	APPROVED	2025-10-30
AL	RA	APPROVED	2025-10-29
AK	RA	APPROVED	2025-10-29
AR	RA	APPROVED	2025-10-29
CA	RA	APPROVED	2025-10-29
CO	RA	APPROVED	2025-10-29
DE	RA	APPROVED	2025-10-29
HI	RA	APPROVED	2025-10-29
ID	RA	APPROVED	2025-10-29
IL	RA	APPROVED	2025-10-29
IN	RA	APPROVED	2025-10-29
IA	RA	APPROVED	2025-10-29
KS	RA	APPROVED	2025-10-29
KY	RA	APPROVED	2025-10-29
ME	RA	APPROVED	2025-10-29
MD	RA	APPROVED	2025-10-29
MI	RA	APPROVED	2025-10-29
MN	RA	APPROVED	2025-10-29
MS	RA	APPROVED	2025-10-29
MO	RA	APPROVED	2025-10-29
MT	RA	APPROVED	2025-10-29
NH	RA	APPROVED	2025-10-29
NY	RA	APPROVED	2025-10-29
NC	RA	APPROVED	2025-10-29
OH	RA	APPROVED	2025-10-29
OK	RA	APPROVED	2025-10-29
OR	RA	APPROVED	2025-10-29
PR	RA	APPROVED	2025-10-29
RI	RA	APPROVED	2025-10-29
SC	RA	APPROVED	2025-10-29
SD	RA	APPROVED	2025-10-29
TX	RA	APPROVED	2025-10-29
UT	RA	APPROVED	2025-10-29
VT	RA	APPROVED	2025-10-29
VA	RA	APPROVED	2025-10-29
WI	RA	APPROVED	2025-10-29
WY	RA	APPROVED	2025-10-29
NJ	RA	APPROVED	2021-09-02
CT	RA	APPROVED	2021-04-23
WA	RA	APPROVED	2021-04-23
PA	RA	APPROVED	2019-10-08

GA RA
APPROVED

Since 2026-04-13
LA RA
APPROVED

Since 2026-01-27
FL RA
APPROVED

Since 2026-01-08
AZ RA
APPROVED

Since 2026-01-02
MA RA
APPROVED

Since 2025-11-26
ND RA
APPROVED

Since 2025-11-06
NE RA
APPROVED

Since 2025-10-31
NV RA
APPROVED

Since 2025-10-30
NM RA
APPROVED

Since 2025-10-30
WV RA
APPROVED

Since 2025-10-30
AL RA
APPROVED

Since 2025-10-29
AK RA
APPROVED

Since 2025-10-29
AR RA
APPROVED

Since 2025-10-29
CA RA
APPROVED

Since 2025-10-29
CO RA
APPROVED

Since 2025-10-29
DE RA
APPROVED

Since 2025-10-29
HI RA
APPROVED

Since 2025-10-29
ID RA
APPROVED

Since 2025-10-29
IL RA
APPROVED

Since 2025-10-29
IN RA
APPROVED

Since 2025-10-29
IA RA
APPROVED

Since 2025-10-29
KS RA
APPROVED

Since 2025-10-29
KY RA
APPROVED

Since 2025-10-29
ME RA
APPROVED

Since 2025-10-29
MD RA
APPROVED

Since 2025-10-29
MI RA
APPROVED

Since 2025-10-29
MN RA
APPROVED

Since 2025-10-29
MS RA
APPROVED

Since 2025-10-29
MO RA
APPROVED

Since 2025-10-29
MT RA
APPROVED

Since 2025-10-29
NH RA
APPROVED

Since 2025-10-29
NY RA
APPROVED

Since 2025-10-29
NC RA
APPROVED

Since 2025-10-29
OH RA
APPROVED

Since 2025-10-29
OK RA
APPROVED

Since 2025-10-29
OR RA
APPROVED

Since 2025-10-29
PR RA
APPROVED

Since 2025-10-29
RI RA
APPROVED

Since 2025-10-29
SC RA
APPROVED

Since 2025-10-29
SD RA
APPROVED

Since 2025-10-29
TX RA
APPROVED

Since 2025-10-29
UT RA
APPROVED

Since 2025-10-29
VT RA
APPROVED

Since 2025-10-29
VA RA
APPROVED

Since 2025-10-29
WI RA
APPROVED

Since 2025-10-29
WY RA
APPROVED

Since 2025-10-29
NJ RA
APPROVED

Since 2021-09-02
CT RA
APPROVED

Since 2021-04-23
WA RA
APPROVED

Since 2021-04-23
PA RA
APPROVED

Since 2019-10-08

Branch Locations

200 Park Avenue, New York, NY 10166 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
J. P. Morgan Investment Management	New York	NY	06/2005	12/2017
J. P. Morgan Institutional Investments Inc.	New York	NY	06/2005	12/2017
Vicus Capital, Inc.	State College	PA	01/2018	05/2018
Pershing Llc	Downingtown	PA	09/2019	Present
Lockwood Advisors Inc.	Pennington	NJ	09/2019	06/2023
Palladiem, Llc	Wayne	PA	07/2018	09/2019
Bny Mellon Advisors, Inc.	Pennington	NJ	06/2023	Present

06/2005 → 12/2017

J. P. Morgan Investment Management

New York, NY
06/2005 → 12/2017

J. P. Morgan Institutional Investments Inc.

New York, NY
01/2018 → 05/2018

Vicus Capital, Inc.

State College, PA
09/2019 → Present

Pershing Llc

Downingtown, PA
09/2019 → 06/2023

Lockwood Advisors Inc.

Pennington, NJ
07/2018 → 09/2019

Palladiem, Llc

Wayne, PA
06/2023 → Present

Bny Mellon Advisors, Inc.

Pennington, NJ

Previous Registrations

2005-09-15 → 2018-09-18

J.P. Morgan Investment Management Inc.

New York, NY

New York, NY
2018-01-19 → 2018-05-04

Vicus Capital, Inc.

State College, PA
2000-09-29 → 2005-06-21

Bny Mellon Advisors, Inc.

Malvern, PA

Other Businesses

F3 Entertainment; Downingtown, PA; Independent Contractor; Start Date: 7/9/2024; Duties: Voice Acting, Voice Over Work, Local Musician; Not investment-related; 0 hours devoted during securities trading hours - 15 hours per month devoted outside of securities trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-02-05
S63	Uniform Securities Agent State Law Examination	1988-09-02

S65 Uniform Investment Adviser Law Examination

1996-02-05
S63 Uniform Securities Agent State Law Examination

1988-09-02

Designations

Chartered Financial Analyst

Other Names

Frank A Germana
Frank Germana

View on SEC IAPD