Frank J. Klaus
Professional summary
Frank Joseph Klaus was barred by the SEC 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 1987. Prior to being barred, Frank had worked at 3 firms, which includes COASTAL SECURITIES INC., GSC SECURITIES INC., GOVERNMENT SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 1999 - April 5, 2006
COASTAL SECURITIES, INC.
July 1, 1996 - October 6, 1997
COASTAL SECURITIES, INC.
May 27, 1988 - July 1, 1996
GSC SECURITIES, INC.
July 25, 1987 - July 1, 1996
GOVERNMENT SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
COASTAL SECURITIES, INC.
CRD#: 27834 / SEC#: , 8-43227
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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