Carol G. Frankenfield
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.
Carol Goering Frankenfield, who also goes by Carol A Goering, Carol Goering, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1988. Carol had worked at 5 firms and has passed the Series 63 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
January 28, 2003 - April 30, 2014
PHILADELPHIA BROKERAGE CORPORATION
January 16, 2002 - December 16, 2002
EMERGING GROWTH EQUITIES, LTD.
August 28, 1990 - January 23, 2002
INVESTEC INC.
March 15, 1990 - February 25, 1991
WINDSOR SECURITIES, INC.
June 22, 1988 - April 7, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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
PHILADELPHIA BROKERAGE CORPORATION
CRD#: 25534 / SEC#: 801-70757, 8-41788
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDERMOTT, SEAN MICHAEL | PARTNER, CFO, CCO, FINOP, COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNICIPAL PRINCIPAL | 4266504 |
Disclosures
| Regulatory Event | 1 |
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.
