Herbert J. Frank
Professional summary
Herbert John Frank, who also goes by Herbert J Frank, is a registered financial professional currently at LASALLE ST SECURITIES, L.L.C. located in Fort Wayne, Indiana.
Herbert is registered as a RR (Registered Representative) and started their career in finance in 1969. Herbert has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Herbert John Frank's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 1982 - Present
LASALLE ST SECURITIES, L.L.C.
Office #1: 14417 Illinois Rd. Ste C, Fort Wayne, IN 46814March 14, 1977 - December 22, 1981
RAFFENSPERGER, HUGHES & CO., INC.
February 19, 1975 - April 7, 1977
MF GLOBAL INC.
March 7, 1969 - February 1, 1975
UNIFIED UNDERWRITERS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/28/2019)
(1/29/1982)
(10/21/1987)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/4/1969
Registered Representative ExaminationFINRA
Current Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
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