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Frank Michael Iozzo

Fmi Financial, Ltd.

Oak Brook, IL

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Current Employers
Fmi Financial, Ltd.

Oak Brook, IL • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-02
IL RA APPROVED 2019-01-29
  • TX RA
    APPROVED_RES
    Since 2020-04-02
  • IL RA
    APPROVED
    Since 2019-01-29

Branch Locations

Oak Brook, IL • 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
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Chicago IL 07/2011 Present
Capital Strategies, Inc. Group Oakbrook Terrace IL 03/2015 Present
  • 07/2011 → Present
    J.P. Morgan Securities Llc
    Chicago, IL
  • 03/2015 → Present
    Capital Strategies, Inc. Group
    Oakbrook Terrace, IL
Previous Registrations
  • 2011-07-08 → 2012-05-15
    J.P. Morgan Securities Llc
    Chicago, IL
    Chicago, IL
  • 2010-04-21 → 2011-07-14
    Chase Investment Services Corp.
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-12-06
S66 Uniform Combined State Law Examination 2010-04-16
  • S65 Uniform Investment Adviser Law Examination
    2018-12-06
  • S66 Uniform Combined State Law Examination
    2010-04-16

View on SEC IAPD

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