Robert E. 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.
Robert Eugene Frank, who also goes by Bob Frank, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2018 - June 11, 2024
LIFEMARK SECURITIES CORP.
October 23, 2018 - June 11, 2024
LIFEMARK SECURITIES CORP.
October 23, 2013 - October 24, 2018
FORESTERS EQUITY SERVICES, INC.
August 2, 2013 - October 24, 2018
FORESTERS EQUITY SERVICES, INC.
September 23, 2010 - August 1, 2013
HORNOR, TOWNSEND & KENT, LLC
July 22, 2010 - August 1, 2013
HORNOR, TOWNSEND & KENT, LLC
April 22, 2009 - July 12, 2010
PARK AVENUE SECURITIES LLC
August 1, 2008 - March 16, 2009
NATIONWIDE SECURITIES, LLC
August 1, 2008 - March 16, 2009
NATIONWIDE SECURITIES, LLC
June 20, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
June 12, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
November 19, 2001 - December 19, 2007
NATIONWIDE SECURITIES, LLC
October 19, 1992 - November 1, 2001
VERAVEST INVESTMENTS, INC.
April 22, 1986 - October 26, 1992
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
Series 7TO
Date: 11/14/2020
General Securities Representative ExaminationCurrent Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
