Debora H. 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.
Debora Holly Frank was a registered financial professional .
Debora is a previously registered financial professional and started their career in finance in 1986. Debora had worked at 11 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2007 - December 31, 2007
W.A. CAPITAL MARKETS
April 29, 2005 - July 26, 2005
W.A. CAPITAL MARKETS
July 2, 2003 - December 14, 2004
MAXIM GROUP LLC
November 25, 2002 - July 8, 2003
CROWN FINANCIAL GROUP, INC.
February 6, 1998 - March 28, 2002
CIBC WORLD MARKETS CORP.
September 18, 1997 - November 4, 1997
SBC WARBURG DILLON READ INC.
July 9, 1995 - August 29, 1997
CIBC WORLD MARKETS CORP.
November 15, 1994 - July 25, 1995
CROWN FINANCIAL GROUP, INC.
July 8, 1991 - December 31, 1992
WOODBURY FINANCIAL SERVICES, INC.
October 3, 1990 - April 29, 1991
WOODBURY FINANCIAL SERVICES, INC.
March 22, 1989 - October 17, 1989
J.P. MORGAN SECURITIES LLC
October 3, 1988 - October 12, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 3, 1988 - October 12, 1990
SIGNATOR INVESTORS, INC.
February 17, 1987 - July 20, 1987
ALLIED CAPITAL GROUP, INC.
December 26, 1986 - February 20, 1987
SECURITIES USA, 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
Series 55
Date: 12/27/2002
Limited Representative-Equity Trader ExamCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
