Frank Clark
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 Clark, who also goes by Francis W Clark, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2005. Frank had worked at 4 firms and has passed the Series 66 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
December 20, 2010 - July 24, 2012
GITTERMAN WEALTH MANAGEMENT, LLC
August 10, 2010 - July 24, 2012
TRIAD ADVISORS LLC
October 3, 2008 - August 13, 2010
SIGNATOR INVESTORS, INC.
September 19, 2008 - August 13, 2010
SIGNATOR INVESTORS, INC.
May 2, 2005 - September 26, 2008
EQUITABLE ADVISORS, LLC
April 8, 2005 - September 26, 2008
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
GITTERMAN WEALTH MANAGEMENT, LLC
CRD#: 153062 / SEC#: 801-71246
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
GITTERMAN WEALTH MANAGEMENT, LLC
CRD#: 153062 / SEC#: 801-71246
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 558 |
| AUM (Assets Under Management) | $ 666,146,820 |
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.
