Christopher L. Frankel
Professional summary
Christopher Lee Frankel, who also goes by Chris Frankel, is a registered financial professional currently at VISION FINANCIAL MARKETS LLC located in St Petersburg, Florida.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1989. Christopher has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Lee Frankel's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2019 - Present
VISION FINANCIAL MARKETS LLC
August 4, 2015 - August 1, 2018
ALPINE SECURITIES CORPORATION
June 5, 2009 - July 23, 2015
AXOS CLEARING LLC
June 27, 2006 - April 7, 2009
GUNNALLEN FINANCIAL, INC
April 1, 2003 - June 14, 2006
STONEX SECURITIES INC.
July 27, 2001 - June 26, 2003
CUSO PARTNERS, LLC
August 24, 1994 - June 8, 2006
INTL CUSTODY & CLEARING SOLUTIONS INC.
July 14, 1994 - June 8, 2006
STERNE, AGEE & LEACH, INC.
February 23, 1993 - May 4, 1994
INBANK INVESTMENTS, INC.
November 10, 1992 - May 4, 1994
MAGNA INVESTMENTS
May 26, 1992 - October 21, 1992
FULTON FERRACUTE CAPITAL CORP, INC.
January 24, 1989 - August 8, 1989
INVESTACORP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/9/2019)
(10/22/2019)
Exams
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
MIAX Sapphire
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
VISION FINANCIAL MARKETS LLC
CRD#: 142271 / SEC#: , 8-67447
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHMAN, HOWARD MARTIN | PRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| ROTHMAN, MICHAEL DAVID | GENERAL MANAGER | 6682487 |
| FELAG, JOHN CHRISTOPHER | CHIEF RISK OFFICER | 1874602 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER | 5288054 |
Disclosures
| Regulatory Event | 32 |
Red Flags
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