Frank Kufrovich
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 Kufrovich was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 6 firms and has passed the Series 63, Series 5, Series 7 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1995 - September 15, 1998
FINANCIAL WEST GROUP
November 30, 1992 - December 31, 1994
ENERIC FINANCIAL SERVICES, INC.
September 4, 1990 - November 24, 1992
PACIFIC INLAND SECURITIES CORPORATION
February 18, 1988 - August 22, 1990
PROFESSIONAL PLANNING & TECHNOLOGIES, INC.
November 22, 1985 - January 13, 1988
PROFESSIONAL CONCEPTS & PLANNING, INC.
January 19, 1983 - April 25, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 5
Date: 3/2/1983
Interest Rate Options ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 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.
