Frank C. Beth
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 Charles Beth was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1987. Frank had worked at 13 firms and has passed the Series 63, Series 6, Series 7, Series 26 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
December 2, 2008 - April 8, 2011
NEW ENGLAND SECURITIES
March 24, 2006 - April 8, 2011
METLIFE INVESTORS DISTRIBUTION COMPANY
December 15, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 15, 2005 - April 8, 2011
MSI FINANCIAL SERVICES, INC.
August 15, 2000 - March 14, 2006
PFS INVESTMENTS INC.
November 23, 1998 - April 8, 2011
TOWER SQUARE SECURITIES, INC.
June 25, 1991 - May 5, 1994
PRUCO SECURITIES, LLC.
June 24, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 19, 1988 - July 26, 1989
UBS FINANCIAL SERVICES INC.
May 18, 1988 - September 22, 1988
WATSON FINANCIAL SERVICES CORPORATION
June 26, 1987 - January 4, 1988
CROMWELL, KNIGHT & CO., INC.
May 7, 1987 - May 27, 1987
WAKEFIELD FINANCIAL CORPORATION
February 6, 1987 - March 25, 1987
MORGAN GLADSTONE & CO. INC.
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
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
