Susan M. Frank
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.
Susan Melissa Frank, who also goes by Susan Melissa Gans, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1982. Susan had worked at 11 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2012 - November 12, 2012
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
May 10, 2012 - November 2, 2012
SIGNATOR INVESTORS, INC.
February 7, 2007 - April 25, 2007
OSAIC WEALTH, INC.
October 3, 2003 - February 3, 2005
ALLSTATE FINANCIAL SERVICES, LLC
March 13, 2003 - October 6, 2003
CAPITAL BROKERAGE CORPORATION
December 24, 1998 - May 9, 2001
MORGAN STANLEY DW INC.
September 28, 1995 - November 13, 1998
BA INVESTMENT SERVICES, INC.
September 7, 1994 - October 10, 1995
QUEST CAPITAL STRATEGIES, INC.
May 23, 1991 - September 29, 1992
NEWPORT COAST SECURITIES, INC.
November 5, 1984 - June 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 29, 1982 - November 1, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
CRD#: 144069 / SEC#: 801-67988
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
SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC
CRD#: 144069 / SEC#: 801-67988
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 807 |
| AUM (Assets Under Management) | $ 227,563,327 |
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.
