Rodney S. 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.
Rodney Smith Frank, who also goes by Rod Frank, was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1984. Rodney had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4, 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
February 8, 2022 - December 1, 2022
WEALTH WATCH ADVISORS, INC
February 4, 2020 - October 23, 2020
SUPREME ALLIANCE LLC
February 4, 2020 - October 23, 2020
SUPREME ALLIANCE LLC
August 24, 2018 - October 14, 2019
TANDEM SECURITIES, INC.
October 24, 2017 - August 1, 2018
PRUCO SECURITIES, LLC.
September 12, 2017 - August 1, 2018
PRUCO SECURITIES, LLC.
July 9, 2014 - September 8, 2017
CASH APP INVESTING LLC
November 15, 2012 - September 8, 2017
CASH APP INVESTING LLC
June 2, 2011 - May 21, 2012
NTB FINANCIAL CORPORATION
June 2, 2011 - May 21, 2012
NTB FINANCIAL CORPORATION
February 10, 2011 - June 10, 2011
EAGLE STRATEGIES LLC
September 30, 2009 - June 10, 2011
NYLIFE SECURITIES LLC
March 15, 2006 - September 17, 2009
DMK ADVISOR GROUP, INC.
March 10, 2006 - September 17, 2009
DMK ADVISOR GROUP, INC.
November 1, 2002 - March 16, 2006
GUNNALLEN FINANCIAL, INC
February 1, 2002 - March 16, 2006
GUNNALLEN FINANCIAL, INC
July 11, 2000 - February 6, 2002
WELLS FARGO CLEARING SERVICES, LLC
February 7, 1997 - July 26, 2000
CITIGROUP GLOBAL MARKETS INC.
October 13, 1993 - February 25, 1997
UBS FINANCIAL SERVICES INC.
June 20, 1990 - November 1, 1993
PIPER SANDLER & CO.
January 22, 1986 - December 4, 1986
LOCUST STREET SECURITIES, INC.
November 13, 1984 - March 4, 1985
WADDELL & REED
Primary Firm SEC Registration
WEALTH WATCH ADVISORS, INC
CRD#: 172002 / SEC#: 801-96180
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
WEALTH WATCH ADVISORS, INC
CRD#: 172002 / SEC#: 801-96180
Contact information
SEC notice filing (25 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,556 |
| AUM (Assets Under Management) | $ 473,650,570 |
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.
