Frank E. Siemon
Professional summary
Frank Edward Siemon JR, CIMA®, who also goes by Frank Edward Jr Siemon, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Miami, Florida.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1991. Frank has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Edward Siemon JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 14, 2011 - Present
PIMCO INVESTMENTS LLC
Office #1: 600 Brickell Avenue 21st Floor, Miami, FL 33131March 6, 2008 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
February 15, 2008 - March 3, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
May 22, 2006 - February 11, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
February 3, 1999 - March 3, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
December 17, 1993 - October 27, 1998
BNY MELLON SECURITIES CORPORATION
October 10, 1991 - December 3, 1993
IDS LIFE INSURANCE COMPANY
October 10, 1991 - December 3, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/14/2011)
(1/11/2013)
(10/7/2016)
(2/14/2011)
(4/6/2021)
(10/16/2012)
(2/14/2011)
(1/3/2024)
(9/29/2014)
Exams
Series 8
Date: 2/4/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| MURPHY, JORDAN MITCHELL | CHIEF COMPLIANCE OFFICER | 4221561 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
| WHITTEN, CANDICE STACK | MANAGER, BOARD OF MANAGERS | 4460452 |
Red Flags
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Company Information
PIMCO INVESTMENTS LLC
CRD#: 154957Miami, FL 33131TRUST BUT VERIFY
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