Frank B. Faust
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 Baynon Faust was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1971. Frank had worked at 16 firms and has passed the Series 63, Series 65, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2004 - November 14, 2014
VOYA FINANCIAL ADVISORS, INC.
February 23, 2004 - November 14, 2014
VOYA FINANCIAL ADVISORS, INC.
September 30, 2003 - February 20, 2004
GUNNALLEN FINANCIAL, INC
November 20, 2002 - February 20, 2004
GUNNALLEN FINANCIAL, INC
May 2, 2001 - November 22, 2002
WOODBURY FINANCIAL SERVICES, INC.
May 5, 1999 - May 9, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 30, 1998 - May 5, 1999
DEMPSEY FINANCIAL NETWORK, INC.
August 30, 1995 - June 2, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 26, 1994 - July 19, 1995
CUNA BROKERAGE SERVICES, INC.
August 3, 1993 - September 9, 1994
MERIDIAN, DUNHILL & CO., INC.
March 22, 1993 - August 16, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 24, 1992 - August 3, 1993
INVESTORS ASSOCIATES, INC.
February 21, 1990 - November 16, 1992
WALNUT STREET SECURITIES, INC.
June 16, 1989 - February 23, 1990
VP DISTRIBUTORS LLC
June 11, 1983 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
May 1, 1974 - February 13, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 1, 1974 - February 13, 1989
OSAIC FA, INC.
May 9, 1973 - June 30, 1974
GENERAL AMERICAN LIFE INSURANCE COMPANY
January 25, 1971 - August 26, 1971
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Series 1
Date: 3/26/1969
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
