Frank Charles Galdieri

Employer firm

Spc CRD 110692

$6.10B regulatory AUM 4,483 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2014 → 02/2020
  Guardian Life Ins
  New York, NY
• 09/2014 → 02/2020
  Park Avenue Securities
  New York, NY
• 08/2014 → 02/2020
  Park Avenue Securities, Llc
  Sarasota, FL
• 08/2014 → 02/2020
  Guardian Life Insurance Compnay
  Sarasota, FL
• 02/2020 → 02/2022
  Guardian Life Insurance Co Of America
  Fort Myers, FL
• 02/2020 → 02/2022
  Park Avenue Securities, Llc
  Fort Myers, FL
• 02/2022 → Present
  Sigma Financial Corporation
  Ann Arbor, MI
• 02/2022 → Present
  Spc
  Ann Arbor, MI

Previous Registrations

• 2016-04-07 → 2020-09-25
  Park Avenue Securities Llc
  Sarasota, FL
  New York, NY
  Fort Myers, FL
• 2011-06-14 → 2014-08-26
  Morgan Stanley
  Purchase, NY
  Sarasota, FL
• 2010-01-28 → 2011-04-26
  Capital Guardian Wealth Management, Llc
  Miami, FL
• 2004-09-23 → 2009-06-25
  Ubs Financial Services Inc.
  Weehawken, NJ
  Weehawken, NJ
  New York, NY
  Manalapan, NJ

Other Businesses

As an independently licensed insurance agent, I am appointed with various insurance companies. DBA - Sarasota Frank Wealth Management, LLC, Sarasota, FL. Sole proprietor and sole member for use with my financial planning, advisory and brokerage business with clients. Start date: 5/20/22, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-12-30
• S63 Uniform Securities Agent State Law Examination
  1991-12-11

Other Names

• Frank C Galdieri
• Frank C Galdieri
• Frank Charles Galdieri