Frank C. Tonnemaker
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 Clayton Tonnemaker was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1984. Frank had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 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 - May 9, 2017
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
June 3, 2008 - November 10, 2009
J.P. MORGAN INVESTMENT MANAGEMENT INC.
November 13, 2007 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
October 24, 2005 - April 2, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 21, 2005 - October 20, 2005
FAIRBRIDGE CAPITAL MARKETS
February 7, 2002 - April 28, 2003
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
December 4, 2000 - January 28, 2002
GOLDMAN SACHS & CO. LLC
December 17, 1999 - October 23, 2000
COLLIERS SECURITIES LLC
May 27, 1997 - February 11, 1998
DELAWARE DISTRIBUTORS, L.P.
April 9, 1991 - August 12, 1997
VOYAGEUR INVESTMENTS, INC.
July 24, 1989 - February 27, 1991
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 10, 1986 - July 31, 1989
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
May 21, 1985 - June 5, 1986
JMB SECURITIES CORPORATION
May 17, 1984 - November 19, 1985
RAYMOND JAMES FINANCIAL SERVICES, INC.
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.
