Elaine K. 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.
Elaine Kathleen Frank, who also goes by Elaine K Magnotto, Elaine Katherine Magnotto, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 1983. Elaine had worked at 5 firms and has passed the Series 63, SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
March 25, 1997 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
March 21, 1996 - February 10, 1997
TOWER SQUARE SECURITIES, INC.
September 29, 1994 - March 25, 1996
ADVANTAGE CAPITAL CORPORATION
November 25, 1992 - November 25, 1994
TOWER SQUARE SECURITIES, INC.
June 19, 1983 - December 17, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 2
Date: 10/1/1976
Non-Member General Securities ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
