James R. Frankenthaler
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.
James Robert Frankenthaler was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 5 firms and has passed the Series 63, Series 16, Series 1 and Series 000 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 1989 - May 29, 1992
WR LAZARD, LAIDLAW INCORPORATED
June 5, 1987 - October 6, 1988
KUHNS BROTHERS & LAIDLAW, INC.
July 5, 1979 - November 18, 1986
INVEMED ASSOCIATES LLC
June 21, 1974 - November 4, 1978
KUHNS BROTHERS & LAIDLAW, INC.
September 24, 1971 - July 22, 1973
R. W. PRESSPRICH & CO. INCORPORATED
July 11, 1968 - December 3, 1971
INVESCO DISTRIBUTORS, 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
Exams
Series 1
Date: 11/22/1965
Registered Representative ExaminationSeries 000
Date: 11/4/1965
General Securities Principal ExaminationCurrent Firm
WR LAZARD, LAIDLAW INCORPORATED
CRD#: 6010 / SEC#: , 8-16675
Contact information
Documents
Red Flags
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