Frank E. Otoole
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 Eugene Otoole IV, who also goes by Frank Eugene IV Otoole, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1988. Frank had worked at 8 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
February 24, 2000 - March 2, 2012
LOMBARD SECURITIES INCORPORATED
June 16, 1999 - February 28, 2000
EMERSON BENNETT & ASSOCIATES
June 3, 1998 - June 15, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
May 11, 1998 - May 28, 1998
VISION SECURITIES INC.
October 17, 1995 - February 27, 1998
COMMONWEALTH FINANCIAL NETWORK
July 31, 1992 - September 19, 1995
A. G. EDWARDS & SONS, INC.
May 24, 1989 - July 27, 1992
MORGAN STANLEY DW INC.
July 20, 1988 - May 9, 1989
BLINDER, ROBINSON & CO., 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
Exams
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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.
