Frederick Frank
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.
Frederick Frank was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1970. Frederick had worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, 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
July 3, 2014 - September 13, 2021
GORDIAN INVESTMENTS, LLC
January 22, 2013 - October 14, 2014
BURRILL SECURITIES
June 10, 2009 - January 30, 2013
SOLOMON PARTNERS SECURITIES, LLC
December 24, 2008 - March 20, 2009
BARCLAYS CAPITAL INC.
June 26, 1984 - December 22, 2008
LEHMAN BROTHERS INC.
February 22, 1978 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
October 22, 1970 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 4/16/1959
Registered Representative ExaminationCurrent Firm
GORDIAN INVESTMENTS, LLC
CRD#: 158611 / SEC#: , 8-68911
Contact information
Documents
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.
