Frank A. Mutter
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 Anthony Mutter, who also goes by Frank A Mutter, Frank Mutter, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1987. Frank had worked at 4 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 1995 - May 25, 2010
INTEGRATED FINANCIAL PLANNING SERVICES
September 26, 1994 - March 30, 1995
AMERICAN FINANCIAL SERVICES
August 20, 1990 - August 18, 1994
NALICO EQUITY CORPORATION
January 29, 1990 - July 19, 1990
INTEGRATED FINANCIAL PLANNING SERVICES
May 12, 1987 - June 15, 1988
ADVANTAGE CAPITAL CORPORATION
Primary Firm SEC Registration
INTEGRATED FINANCIAL PLANNING SERVICES
CRD#: 17935 / SEC#: 801-132001, 8-35120
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
INTEGRATED FINANCIAL PLANNING SERVICES
CRD#: 17935 / SEC#: 801-132001, 8-35120
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (36 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
