Frank Benner Falkenburg
Professional Summary
Frank Benner Falkenburg, who also goes by Frank Benners Falkenburg, is a registered financial advisor currently at LANARK FINANCIAL, INC. located in Birmingham, Alabama. Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Frank has worked at 3 firms and has passed the Series 63, Series 7TO, Series 72, Series 57TO, SIE, Series 55, Series 41, PC, Series 000, Series 1, Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Frank Benners Falkenburg
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
61 years in the financial services industry
Current & Past Employments
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Current Firm
ADVANCED WEALTH PLANNING GROUP | POSEY, BENNERS & SELLERS, INC. | NORTH SHORE WEALTH MANAGEMENT GROUP, LLC | NBC SECURITIES, INC. | NBC COMMERCE INVESTMENTS | LANARK FINANCIAL, INC. | FIRST STATE FINANCIAL MANAGEMENT | BRUCE HAGAN | ALDYN CAPITAL INVESTMENT AND ADVISORY SERVICES
Contact Information
Main Address
1927 1st Avenue North, Birmingham, AL 35203Mailing Address
1927 1st Avenue North, Birmingham, AL 35203-0686Phone Number
(800) 521-9390Established
Alabama since 03/13/1986Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
68SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANARK FINANCIAL GROUP, LLC | SHAREHOLDER | — |
| CONWAY, PAMELA SUE | VICE PRESIDENT, OPERATIONS | 2228251 |
| DOODY, JOHN ROBERT JR | CEO | 1703990 |
| FALKENBURG, FRANK BENNER | MANAGING DIRECTOR | 204097 |
| FALKENBURG, PEYTON DAVIS | PRESIDENT | 5929303 |
| MILLER, HAROLD BLAINE | VP, CHIEF COMPLIANCE OFFICER | 4214267 |
| RANSOM, SAMUEL DOUGLAS | CHIEF FINANCIAL OFFICER | 7690378 |
Regulatory Assets Under Management
Total Number of Accounts
4,966AUM (Assets Under Management)
$1,784,817,450Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
ADVANCED WEALTH PLANNING GROUP | POSEY, BENNERS & SELLERS, INC. | NORTH SHORE WEALTH MANAGEMENT GROUP, LLC | NBC SECURITIES, INC. | NBC COMMERCE INVESTMENTS | LANARK FINANCIAL, INC. | FIRST STATE FINANCIAL MANAGEMENT | BRUCE HAGAN | ALDYN CAPITAL INVESTMENT AND ADVISORY SERVICES
State Registrations and Notice Filings
(10/30/1995)
(5/8/1996)
(10/27/1995)
(1/10/2006)
(1/5/2022)
(6/20/2005)
(9/1/2022)
(11/2/1995)
(5/29/2008)
(10/31/1995)
(5/29/2008)
(2/24/2004)
(10/18/2021)
(8/24/2016)
(1/3/2002)
(2/26/2004)
(10/14/2021)
(10/14/2021)
(2/26/2004)
(1/5/2022)
(2/24/2004)
(1/28/2003)
(11/9/2000)
(2/25/2004)
(1/15/2003)
(9/7/2023)
(10/13/2023)
(2/22/2003)
(1/7/2022)
(1/31/2022)
(9/18/2003)
(10/7/2021)
(12/21/2017)
(1/29/1996)
(1/27/2022)
(2/25/2004)
(11/2/1995)
(11/2/1995)
(11/2/1995)
(1/28/2022)
(2/1/2022)
(12/21/2017)
(1/22/2007)
(1/4/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 72 — Government Securities Representative Examination
Passed Jan 2023Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000Series 41 — NYSE Allied Member Examination
Passed Jul 1985PC — AMEX Put and Call Exam
Passed Aug 1977Series 000 — General Securities Principal Examination
Passed Feb 1965Series 1 — Registered Representative Examination
Passed Feb 1965Series 00 — General Securities Principal Examination
Passed Jan 1970SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Frank Benner Falkenburg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Benner Falkenburg's CRS (Customer Relationship Summary).
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