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BF

Brian L. Frank

Some features on this profile are disabled
CRD#: 1487350
BF

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.

Brian Lawrence Frank was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 8, 2024 - July 1, 2025

WAVELAND CAPITAL PARTNERS LLC

BD
CRD#: 40054
IRVINE, CA
Past

March 14, 2022 - December 20, 2023

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

October 31, 2017 - May 15, 2020

ASCENDANT ALTERNATIVE STRATEGIES, LLC

BD
CRD#: 283881
WHITE PLAINS, NY
Past

September 19, 2011 - October 25, 2017

TRIPOINT GLOBAL EQUITIES/BANQ(R)

BD
CRD#: 143174
JERICHO, NY
Past

November 16, 2010 - September 16, 2011

TRIDENT PARTNERS LTD.

BD
CRD#: 41258
SYOSSET, NY
Past

September 21, 2009 - November 17, 2010

HFP CAPITAL MARKETS LLC

BD
CRD#: 44351
NEW YORK, NY
Past

November 10, 2003 - October 13, 2009

SANDGRAIN SECURITIES LLC

BD
CRD#: 26004
GARDEN CITY, NY
Past

June 20, 2001 - November 10, 2003

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

June 9, 1999 - May 23, 2001

KSH INVESTMENT GROUP, INC.

BD
CRD#: 41817
GREAT NECK, NY
Past

April 28, 1998 - May 7, 1999

BARINGTON CAPITAL GROUP, L.P.

BD
CRD#: 29383
NEW YORK, NY
Past

April 23, 1986 - April 14, 1998

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/23/1996
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

WC
WAVELAND CAPITAL PARTNERS LLC
MERCER GLOBAL SECURITIES LLC | WAVELAND SECURITIES LLC | WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054 / SEC#: , 8-48962

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd Suite 650, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd Suite 650, Irvine, CA 92612
Phone number
(949) 706-5000
Established
Delaware since 03/28/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WAVELAND CAPITAL GROUP LLCOWNER
DOOLEY, ADAM JAMESPRESIDENT2547292
IRVANI, SAMFINOP4298335
PRINCE, TRISHA ANNECHIEF COMPLIANCE OFFICER2941980

Disclosures

Arbitration2

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.

Company Information

WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054

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