Frank R. Bell
Professional summary
Frank Richard Bell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Frank had worked at 14 firms, which includes NEW WORLD FINANCIAL INC., PACIFIC CONTINENTAL SECURITIES CORPORATION, THE CAMELOT GROUP INC., STRATEGIC RISK MANAGEMENT INC., DANALLEN INVESTMENT GROUP INC., TOLUCA PACIFIC SECURITIES CORP., THE WELLINGTON GROUP INC., LANCASTER LEEDS & CO. INC., FLEET ENTERPRISES INC., CITICORP INVESTMENT SERVICES, CITICORP FINANCIAL SERVICESINC., FINANCIAL WEST GROUP, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2000 - April 15, 2004
NEW WORLD FINANCIAL, INC.
October 22, 1998 - November 12, 2001
PACIFIC CONTINENTAL SECURITIES CORPORATION
February 27, 1998 - August 10, 1998
THE CAMELOT GROUP, INC.
April 22, 1997 - December 16, 1997
STRATEGIC RISK MANAGEMENT, INC.
May 22, 1996 - March 17, 1998
DANALLEN INVESTMENT GROUP INC.
May 11, 1995 - March 14, 1996
TOLUCA PACIFIC SECURITIES CORP.
April 11, 1995 - June 19, 1995
THE WELLINGTON GROUP, INC.
March 16, 1994 - January 10, 1995
LANCASTER LEEDS & CO., INC.
July 27, 1992 - March 29, 1994
FLEET ENTERPRISES, INC.
June 1, 1992 - June 22, 1992
CITICORP INVESTMENT SERVICES
April 15, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
July 27, 1989 - January 1, 1990
FINANCIAL WEST GROUP
September 20, 1988 - December 21, 1990
THE WELLINGTON GROUP, INC.
May 17, 1988 - October 8, 1988
CITIGROUP GLOBAL MARKETS INC.
November 19, 1985 - June 3, 1988
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEW WORLD FINANCIAL, INC.
CRD#: 47747 / SEC#: , 8-51915
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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