Frank C. Ausman
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 Charles Ausman was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1994. Frank had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2017 - July 27, 2018
SECURE INVESTMENT MANAGEMENT, LLC
June 24, 1998 - December 14, 2015
QUESTAR CAPITAL CORPORATION
June 23, 1997 - June 29, 1998
SII INVESTMENTS, INC.
May 6, 1994 - April 3, 1997
MARINER FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
SECURE INVESTMENT MANAGEMENT, LLC
CRD#: 141195 / SEC#: 801-80752
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 62
Date: 8/31/2007
Corporate Securities Limited Representative ExaminationCurrent Firm
SECURE INVESTMENT MANAGEMENT, LLC
CRD#: 141195 / SEC#: 801-80752
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 825 |
| AUM (Assets Under Management) | $ 38,291,887 |
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.
