Francis J. Frye
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.
Francis James Frye, who also goes by Francis J Frye, Francis Frye, Frank Frye, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1987. Francis had worked at 12 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
August 16, 1996 - December 23, 1996
LADENBURG CAPITAL MANAGEMENT INC.
June 1, 1993 - August 17, 1993
TUSCANY EQUITY MANAGEMENT CORPORATI0N
July 29, 1992 - December 22, 1992
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
April 28, 1992 - July 27, 1992
INVESTORS ASSOCIATES, INC.
April 30, 1990 - May 9, 1990
ROBERT TODD FINANCIAL CORP.
January 2, 1990 - January 29, 1990
HANIFEN, IMHOFF SECURITIES CORP.
January 1, 1990 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
September 21, 1989 - November 24, 1989
FIRST FIDELITY CAPITAL CORP.
May 1, 1989 - October 3, 1989
KOBER FINANCIAL CORP.
March 21, 1989 - May 26, 1989
FINNET SECURITIES, INC.
September 16, 1987 - February 28, 1989
POWER SECURITIES CORPORATION
July 21, 1987 - August 31, 1987
CIBC WORLD MARKETS CORP.
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
LADENBURG CAPITAL MANAGEMENT INC.
CRD#: 14623 / SEC#: , 8-30728
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 14 |
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.
