Frank M. Mathis
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 Merrill Mathis JR, who also goes by Frank M Mathis, Frank Merrill Mathis, Frank Merrill Jr Mathis, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1989. Frank had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2000 - April 30, 2015
DPEC CAPITAL, INC.
July 24, 1998 - March 20, 2001
NATIONAL SECURITIES CORPORATION
June 30, 1995 - July 24, 1998
THE BOSTON GROUP
December 13, 1993 - December 7, 1994
WELLS FARGO CLEARING SERVICES, LLC
March 16, 1992 - December 20, 1993
SUTRO & CO. INCORPORATED
November 21, 1990 - February 26, 1992
MORGAN STANLEY DW INC.
January 24, 1989 - November 13, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DPEC CAPITAL, INC.
CRD#: 103737 / SEC#: , 8-52230
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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