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MF

Marc Frank

Some features on this profile are disabled
CRD#: 1703499
MF

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.

Marc Frank, who also goes by Marc Howard Frank, was a registered financial professional .

Marc is a previously registered financial professional and started their career in finance in 1989. Marc had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marc Howard Frank

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 13, 2013 - August 29, 2013

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

May 11, 2010 - July 15, 2011

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

April 23, 2010 - May 12, 2010

MADISON PROPRIETARY TRADING GROUP, LLC

BD
CRD#: 139818
NEW YORK, NY
Past

June 2, 2009 - April 28, 2010

WEEDEN & CO.L.P.

BD
CRD#: 16835
GREENWICH, CT
Past

March 25, 2009 - June 5, 2009

ALADDIN CAPITAL LLC

BD
CRD#: 103766
STAMFORD, CT
Past

July 23, 2001 - December 20, 2001

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

November 3, 1997 - July 22, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

June 14, 1996 - November 3, 1997

CIBC WOOD GUNDY SECURITIES CORP.

BD
CRD#: 3801
NEW YORK, NY
Past

August 30, 1994 - May 17, 1996

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

December 6, 1989 - September 13, 1994

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/8/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/24/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/3/2009
General Securities Principal Examination

Current Firm

WP
WTS PROPRIETARY TRADING GROUP LLC
WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117 / SEC#: , 8-67986

BD
Terminated by SEC on 03/06/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/09/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WTS PTG HOLDINGS, LLCOWNER
CLARK, CHESTER EDMONDCEO2486219
DISCENZA, PETER VINCENT JRCHIEF COMPLIANCE OFFICER4386342
JONES, WILLIAM RUSSELLOPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event6

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.

Company Information

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

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