Robert M. 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.
Robert Matthew Frank, who also goes by Bob Frank, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2011 - August 13, 2020
FS INVESTMENT SOLUTIONS, LLC
February 6, 2009 - April 7, 2011
REALTY CAPITAL SECURITIES, LLC
May 19, 2005 - January 15, 2009
CCO CAPITAL, LLC
July 2, 2003 - May 13, 2005
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
July 2, 2003 - May 13, 2005
DWS DISTRIBUTORS, INC.
May 19, 2003 - June 19, 2003
J.P. MORGAN SECURITIES LLC
June 7, 2002 - November 15, 2002
AIM PRIVATE ASSET MANAGEMENT
February 6, 1996 - November 15, 2002
INVESCO DISTRIBUTORS, INC.
July 22, 1995 - February 5, 1996
DELAWARE DISTRIBUTORS, L.P.
October 11, 1994 - June 29, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 21, 1992 - July 9, 1993
FIDELITY DISTRIBUTORS COMPANY LLC
September 2, 1987 - April 9, 1992
BNY MELLON 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
Series 7TO
Date: 11/25/2022
General Securities Representative ExaminationCurrent Firm
FS INVESTMENT SOLUTIONS, LLC
CRD#: 145244 / SEC#: , 8-67718
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FRANKLIN SQUARE HOLDINGS, LP | SOLE MEMBER OF FS INVESTMENT SOLUTIONS, LLC | |
| DETWILER, ELIZABETH CAMILLA | GENERAL COUNSEL, PRINICIPAL OPERATIONS OFFICER | 4361137 |
| GAGLIOTI, ENRICO SALVATORE | PRESIDENT | 2649966 |
| PAGNOTTA, CHRISTOPHER VINCENT | CHIEF COMPLIANCE OFFICER | 4418522 |
| SCARPATI, GERARD | FINOP/CFO, PFO | 2313132 |
Red Flags
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