James Robert Frankenthaler
Professional Summary
James Robert Frankenthaler was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1968 - 1992. James had worked at 5 firms and has passed the Series 63, Series 16, Series 1 and Series 000 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
61 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST HARLEM SECURITIES CORPORATION | WR LAZARD, LAIDLAW INCORPORATED | WR LAZARD, LAIDLAW & MEAD INCORPORATED | WR LAZARD, LAIDLAW & LUTHER INCORPORATED | WR LAZARD SECURITIES CORPORATION | WR LAZARD & LAIDLAW INCORPORATED
Contact Information
Established
Delaware since 08/25/1970Firm Type
CorporationFiscal Year End
DecemberDocuments
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Nov 1965Series 000 — General Securities Principal Examination
Passed Nov 1965Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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