Francis D. Ertel
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.
Francis Daniel Ertel, who also goes by Frank Ertel, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1991. Francis had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 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
June 27, 2012 - September 26, 2017
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC
May 2, 2012 - December 31, 2016
GWN SECURITIES INC.
July 14, 2010 - March 20, 2012
CITIZENS SECURITIES, INC.
July 14, 2010 - March 20, 2012
CITIZENS SECURITIES, INC.
August 21, 2007 - July 12, 2010
SII INVESTMENTS, INC.
August 21, 2007 - July 12, 2010
SII INVESTMENTS, INC.
July 18, 2007 - August 10, 2007
CETERA ADVISORS LLC
July 18, 2007 - August 10, 2007
CETERA ADVISORS LLC
July 9, 2007 - July 18, 2007
LEGACY ADVISORY SERVICES, INC.
February 3, 1997 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
March 14, 1996 - November 12, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 25, 1994 - December 15, 1995
1717 CAPITAL MANAGEMENT COMPANY
June 24, 1991 - August 11, 1994
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC
CRD#: 162143 / SEC#: 801-76773
Contact information
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