Stephen Z. 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.
Stephen Z Frank was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 5 firms and has passed the Series 65, Series 63, Series 87, Series 55, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2010 - January 13, 2014
WADSWORTH INVESTMENT CO., INC.
January 14, 2008 - April 30, 2009
WES INVESTMENTS, LLC
January 5, 2005 - February 27, 2007
AGC PARTNERS
March 25, 2003 - December 2, 2004
DETWILER FENTON & CO.
November 6, 2002 - April 23, 2004
JMC INVESTMENT SERVICES, INC.
September 17, 1993 - December 2, 2004
DETWILER FENTON & CO.
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 55
Date: 4/13/2001
Limited Representative-Equity Trader ExamCurrent Firm
WADSWORTH INVESTMENT CO., INC.
CRD#: 5844 / SEC#: , 8-16538
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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