Frank J. Portier
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 John Portier, who also goes by Frank Portier, Franklin John Portier, Franklin Portier, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1985. Frank had worked at 6 firms and has passed the Series 63, Series 7, Series 24 and Series 53 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, 1992 - December 16, 1992
DIAMOND HILL SECURITIES, INC.
July 19, 1991 - September 23, 1991
DIAMOND HILL SECURITIES, INC.
October 10, 1990 - April 2, 1991
OMNI CAPITAL MARKETS, INCORPORATED
February 3, 1989 - October 4, 1990
COLUMBUS EQUITIES INTERNATIONAL, INC.
August 24, 1987 - January 2, 1989
EQUITABLE SECURITIES OF NEW YORK,INC.
November 5, 1986 - September 1, 1987
WILLIAM SCOTT & CO. L.L.C.
November 20, 1985 - November 14, 1986
DENTON & 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
DIAMOND HILL SECURITIES, INC.
CRD#: 28240 / SEC#: , 8-43546
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
