Thomas S. Franke
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.
Thomas Stanley Franke, who also goes by Tom Franke, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 1999 - September 25, 1999
RONEY & CO.
January 24, 1991 - January 20, 2021
RAYMOND JAMES & ASSOCIATES, INC.
January 18, 1991 - January 20, 2021
RAYMOND JAMES & ASSOCIATES, INC.
April 4, 1978 - June 19, 1990
BLUNT ELLIS & LOEWI INCORPORATED
January 13, 1972 - April 4, 1978
LOEWI & CO., INCORPORATED
May 29, 1969 - March 10, 1972
FRANCIS I DUPONT & CO
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 3/31/1977
AMEX Put and Call ExamSeries 1
Date: 12/13/1965
Registered Representative ExaminationSeries 40
Date: 5/23/1969
Registered Principal ExaminationCurrent Firm
RONEY & CO.
CRD#: 45091 / SEC#: , 8-50985
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.
