Frank J. Wainscott
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.
Frank Joseph Wainscott was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1981. Frank had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 28, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2013 - December 26, 2018
CABOT LODGE SECURITIES LLC
May 23, 2011 - December 26, 2018
CL WEALTH MANAGEMENT LLC
August 20, 2010 - March 15, 2011
ADVENT SECURITIES, INC.
July 24, 2003 - April 8, 2011
ALLIED BEACON PARTNERS, INC.
March 17, 1999 - August 9, 2013
ALLIED BEACON PARTNERS, INC.
October 3, 1988 - March 25, 1999
TITAN/VALUE EQUITIES GROUP, INC.
May 5, 1987 - October 10, 1988
WALNUT STREET SECURITIES, INC.
July 17, 1986 - June 12, 1987
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
December 11, 1981 - June 2, 1986
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 12/7/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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