Frank T. Okeefe
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 Thomas Okeefe was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1988. Frank had worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2018 - December 31, 2020
THE LEADERS GROUP, INC.
January 10, 2006 - December 31, 2016
THE LEADERS GROUP, INC.
September 22, 2004 - December 31, 2005
CINCINNATI ANALYSTS, INC.
March 10, 2004 - August 9, 2004
PENTEGRA DISTRIBUTORS INC.
April 22, 2003 - March 5, 2004
FREEDOM FINANCIAL, INC.
June 6, 2001 - April 23, 2003
CPFG SECURITIES, INC.
March 14, 1990 - June 3, 1991
AELTUS CAPITAL, INC
November 25, 1988 - March 29, 1990
AETNA FINANCIAL SERVICES, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 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.
