Roger 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.
Roger Ernest Frank, who also goes by Roger E Frank, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1987. Roger had worked at 14 firms and has passed the Series 63, SIE 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
June 26, 2014 - September 29, 2015
DINOSAUR FINANCIAL GROUP, L.L.C
March 15, 2013 - July 24, 2013
MISSION CAPITAL LLC
January 12, 2011 - June 30, 2011
PRIVATE COMPANY MARKET PLACE, INC.
January 23, 2007 - December 11, 2008
DWM FINANCE LLC
June 16, 2005 - December 4, 2006
FDX CAPITAL LLC
May 1, 2000 - October 11, 2004
CITIGROUP GLOBAL MARKETS INC.
June 24, 1998 - May 1, 2000
SCHRODER & CO. INC.
November 11, 1997 - March 17, 1998
HSBC SECURITIES (USA) INC.
February 1, 1996 - October 1, 1997
LAZARD FRERES & CO. LLC
November 9, 1993 - February 9, 1996
DEUTSCHE BANK SECURITIES INC.
November 18, 1991 - October 25, 1993
JAMES CAPEL INCORPORATED
February 24, 1989 - October 12, 1990
INTERFINANCE CAPITAL MARKETS, INC.
December 24, 1987 - April 28, 1989
CITICORP SCRIMGEOUR VICKERS INTERNATIONAL, INC.
January 21, 1987 - October 22, 1987
MOSELEY SECURITIES CORPORATION
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
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
