Frank B. Weisz
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 Barry Weisz was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 7 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2019 - February 6, 2020
THE LEADERS GROUP, INC.
September 23, 2016 - December 31, 2017
SECURITIES AMERICA, INC.
March 25, 1997 - September 23, 2016
WALL STREET FINANCIAL GROUP, INC.
December 5, 1996 - March 7, 1997
CADARET, GRANT & CO., INC.
March 27, 1995 - November 7, 1996
CADARET, GRANT & CO., INC.
July 25, 1994 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 25, 1994 - March 5, 2007
EQUITABLE ADVISORS, LLC
December 15, 1983 - December 20, 1994
1717 CAPITAL MANAGEMENT COMPANY
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
