Scott A. Frumhoff
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.
Scott Alan Frumhoff was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 9 firms and has passed the Series 63 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
March 26, 2013 - January 6, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
March 5, 2010 - October 20, 2011
CNR SECURITIES, LLC
August 30, 2005 - February 17, 2010
DWS DISTRIBUTORS, INC.
January 24, 1995 - June 6, 1995
CONSECO SECURITIES, INC.
September 8, 1992 - January 24, 1995
USLIFE EQUITY SALES CORP.
June 22, 1989 - December 23, 1991
METROPOLITAN LIFE INSURANCE COMPANY
June 22, 1989 - December 23, 1991
MSI FINANCIAL SERVICES, INC.
July 9, 1986 - July 6, 1988
A. G. EDWARDS & SONS, INC.
July 24, 1985 - July 1, 1986
STIFEL, NICOLAUS & COMPANY, 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
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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.
