Frank L. Slack
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 Lansden Slack, who also goes by Zoi Slack, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1982. Frank had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22 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
June 7, 2017 - September 6, 2017
CARY STREET PARTNERS
January 7, 2005 - December 31, 2007
LPL FINANCIAL LLC
January 6, 2005 - June 8, 2017
LPL FINANCIAL LLC
March 31, 2004 - December 31, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 24, 1992 - January 10, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 5, 1990 - July 15, 1992
A. G. EDWARDS & SONS, INC.
January 17, 1990 - July 3, 1990
DOMINICK & DICKERMAN LLC
April 20, 1988 - June 21, 1989
PRUDENTIAL EQUITY GROUP, LLC
April 24, 1984 - June 7, 1988
UBS FINANCIAL SERVICES INC.
July 21, 1983 - April 23, 1984
J.J.B. HILLIARD, W.L. LYONS, LLC
March 26, 1982 - November 16, 1982
NRM CORPORATION
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
CARY STREET PARTNERS
CRD#: 128089 / SEC#: , 8-66085
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARY STREET PARTNERS FINANCIAL LLC | SOLE MEMBER OF BROKER-DEALER | |
| BAYNE, WALTER DONALD | PRESIDENT OF BROKER-DEALER AND MANAGING DIRECTOR OF CSPF | 4427332 |
| GALLUP, WESLEY HAMILTON | CHIEF OPERATING OFFICER OF CSPF | 5037007 |
| HAYES, JAIMAL CHARAN | CHIEF COMPLIANCE OFFICER OF BROKER-DEALER | 4259937 |
| MITCHELL, KEVIN LEE | HEAD OF ACCOUNTING - CONTROLLER AND FINANCIAL OPERATIONS PRINCIPAL OF BROKER-DEALER | 3085157 |
| RUBIN, MATTHEW LAWRENCE | CHIEF INVESTMENT OFFICER OF CSPF | 3057508 |
| SCHMUCKLER, JOSEPH REDMOND | CHIEF EXECUTIVE OFFICER OF CSPF | 1156472 |
| TULLIDGE, THOMAS HOGSHEAD JR | SECRETARY/TREASURER OF BROKER-DEALER AND CHIEF STRATEGY OFFICER, LEGAL AND FINANCE OF CSPF | 2858022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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