Celeste A. Frause
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.
Celeste Agnes Frause, who also goes by Penny A. Frause, Penny Frause, Celeste Agnes Preston, Penny A. Preston, was a registered financial professional .
Celeste is a previously registered financial professional and started their career in finance in 1972. Celeste had worked at 10 firms and has passed the Series 65, Series 63, PC, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2011 - December 31, 2017
PNF MANAGEMENT LLC
January 2, 2009 - April 30, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 11, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 8, 2003 - April 30, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 1999 - August 20, 2003
PIPER SANDLER & CO.
May 27, 1994 - August 20, 2003
PIPER SANDLER & CO.
July 14, 1980 - June 1, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - August 14, 1980
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
September 23, 1975 - November 17, 1976
SHEARSON HAYDEN STONE INC.
March 20, 1975 - November 9, 1975
E. F. HUTTON & COMPANY INC
October 4, 1972 - February 24, 1975
WEIS SECURITIES, 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
PC
Date: 6/7/1988
AMEX Put and Call ExamSeries 1
Date: 9/27/1972
Registered Representative ExaminationCurrent Firm
PNF MANAGEMENT LLC
CRD#: 158027 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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