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EF

Edward K. Frost

Some features on this profile are disabled
CRD#: 215131
EF

Professional summary

Edward Kenneth Frost was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Edward is a previously registered financial advisor and started their career in finance in 1968. Prior to being barred, Edward had worked at 7 firms, which includes GBS FINANCIAL CORP., WESTERN INTERNATIONAL SECURITIES INC., CROWELL WEEDON & CO., PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., DEAN WITTER & CO. INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

E Kenneth Frost

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 23, 2013 - December 31, 2013

GBS FINANCIAL CORP.

RIA
CRD#: 16906
SANTA ROSA, CA
Past

December 20, 2013 - February 11, 2014

GBS FINANCIAL CORP.

BD
CRD#: 16906
SANTA ROSA, CA
Past

November 20, 2013 - May 11, 2017

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
Ventura, CA
Past

August 5, 2009 - December 13, 2013

GBS FINANCIAL CORP.

RIA
CRD#: 16906
LONG BEACH, CA
Past

August 3, 2009 - December 13, 2013

GBS FINANCIAL CORP.

BD
CRD#: 16906
SANTA ROSA, CA
Past

December 31, 1997 - August 12, 2009

CROWELL, WEEDON & CO.

RIA
CRD#: 193
LONG BEACH, CA
Past

February 14, 1997 - August 12, 2009

CROWELL, WEEDON & CO.

BD
CRD#: 193
LONG BEACH, CA
Past

January 11, 1993 - January 27, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

February 24, 1978 - January 21, 1993

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 16, 1973 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466
Past

November 1, 1968 - May 16, 1973

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 209

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/19/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/11/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 4/3/1967
Registered Representative Examination

Current Firm

GF
GBS FINANCIAL CORP.
GBS ADVISORS | GBS FINANCIAL CORPORATION | GBS FINANCIAL CORP.

CRD#: 16906 / SEC#: 801-60744, 8-34631

BD
Terminated by SEC on 02/11/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 07/23/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
GLOISTEN, DONALD GERARDCHIEF EXECUTIVE OFFICER223175
GLOISTEN, GERARD PAULPRESIDENT2579962
KINKADE, STEPHEN ROYFINANCIAL AND OPERATION PRINCIPAL833549
MORRILL, LYNN SUECHIEF COMPLIANCE OFFICER & REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL1031518

Disclosures

Regulatory Event1
Arbitration1

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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Company Information

GBS FINANCIAL CORP.

CRD#: 16906

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