Eric 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.
Eric Frank was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1984. Eric had worked at 13 firms and has passed the Series 65, 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
February 9, 2001 - July 22, 2010
NORTH RIDGE SECURITIES CORP.
October 20, 1999 - February 13, 2001
JOSEPHTHAL & CO., INC.
July 7, 1998 - October 1, 1999
W.J. NOLAN & COMPANY, INC.
April 18, 1997 - June 16, 1998
INSTITUTIONAL EQUITY CORPORATION
February 22, 1997 - April 17, 1997
ALDEN CAPITAL MARKETS, INC.
July 19, 1996 - February 14, 1997
ALLIANCE ASSET GROUP,INC.
August 8, 1994 - July 10, 1996
OPPENHEIMER & CO. INC.
January 9, 1992 - August 8, 1994
REICH & CO., INC.
October 30, 1990 - January 8, 1992
BANIS SECURITIES CORP.
July 30, 1990 - March 14, 1991
WOOD-POMERANTZ SECURITIES, INC
July 8, 1986 - August 2, 1990
JANNEY MONTGOMERY SCOTT LLC
April 2, 1985 - September 3, 1986
INVESTORS CENTER, INC.
July 27, 1984 - April 26, 1985
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NORTH RIDGE SECURITIES CORP.
CRD#: 27098 / SEC#: 801-108451, 8-42879
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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