Joseph D. Frost
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Dale Frost SR, who also goes by Joe Frost Sr, Joe Frost, Joseph Dale Frost, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 12 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2005 - December 6, 2011
OAKBRIDGE FINANCIAL SERVICES
June 7, 2001 - July 7, 2003
OAKBRIDGE FINANCIAL SERVICES
June 26, 2000 - August 1, 2001
MOMENTUM INDEPENDENT NETWORK INC.
June 20, 2000 - June 22, 2000
OAKBRIDGE FINANCIAL SERVICES
June 6, 1998 - June 22, 2000
MOLONEY SECURITIES CO., INC.
January 22, 1996 - May 17, 1998
OAKBRIDGE FINANCIAL SERVICES
May 13, 1992 - January 15, 1996
HUNTLEIGH SECURITIES CORPORATION
February 6, 1992 - May 26, 1992
FIRST GATEWAY SECURITIES INC.
July 9, 1991 - March 26, 1992
JIM BECHERER & CO.
August 3, 1990 - June 21, 1991
EDWARD JONES
January 1, 1990 - July 18, 1990
KIDDER, PEABODY & CO. INCORPORATED
September 30, 1989 - January 3, 1990
ADVEST, INC.
February 13, 1989 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
January 26, 1982 - March 14, 1989
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 22, 1981 - January 15, 1982
WZW FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OAKBRIDGE FINANCIAL SERVICES
CRD#: 16323 / SEC#: , 8-33729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUANG, JOHN CHUNEN | OWNER | 2659909 |
| STANDLEY, MICHAEL THOMAS | OWNER | |
| WINTER, KATHRYN ANN | OWNER | 4523089 |
| CLAYTON, ALAN CLIFTON | OWNER | 2407426 |
| DAVIS, GRAHAM LEWIS | OWNER | 2430102 |
| HIGGINBOTHAM, SUZANNE G | OWNER | 1443872 |
| LARSON, STEVEN ELLSWORTH | OWNER | 2422755 |
| SIEBER, DEBRA ANN | OWNER | 5636638 |
| WILSON, CHARLENE FAITH | FINOP, CCO | 1935747 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
